About This Role
This Analyst role supports the Compliance Team, focusing on surveillance and monitoring activities, with opportunities to engage in collaborative projects across the firm's global compliance program. The person will report to the Chief Compliance Officer – Central Compliance.
Responsibilities
- Review and analyze reports generated by the firm's surveillance systems
- Communicate and address surveillance issues, as necessary
- Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment
- Conduct email surveillance; experience with Global Relay Archive & Compliance system a plus
- Prepare and submit regulatory filings (i.e., Form 13G and 13D filings)
- Assist with regulatory examinations, inquiries, investigations and projects, as necessary
- Deliver new hire and annual compliance training and assist with content updates
- Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program
- Update, maintain, and draft firm policies and procedures
- Review and approve employee requests (e.g., gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system
- Partner with Technology to enhance internal review and surveillance systems
- Draft compliance communications for the firm
Requirements
- 1 - 5 years of investment advisory or broker-dealer compliance experience
- Bachelor's degree required
- Collaborative team player with a strong work ethic and high integrity
- Excellent interpersonal and communication skills; able to interact effectively with all levels of management
- Strong analytical skills and attention to detail; ability to manage multiple priorities
Nice to have:
- Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives
Benefits
- Discretionary bonus
- Paid time off
- Medical/dental/vision insurance
- Retirement
- Life insurance and other benefits to eligible employees
Important Details
- Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship
About the Company
Neuberger is seeking an Analyst to join its Compliance Team.
