Compliance Analyst

Neuberger is seeking an Analyst to join the Compliance Team in New York, reporting to the Chief Compliance Officer – Central Compliance. This role focuses on surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.

Responsibilities

• Review and analyze reports generated by the firm’s surveillance systems.
• Communicate and address surveillance issues, as necessary.
• Provide guidance to business units on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, and Gifts/Entertainment.
• Conduct email surveillance; experience with Global Relay Archive & Compliance system is a plus.
• Prepare and submit regulatory filings (e.g., Form 13G and 13D filings).
• Assist with regulatory examinations, inquiries, investigations, and projects.
• 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.
• Experience with equity and fixed-income securities products preferred; familiarity with futures, commodities, currencies, and derivatives is a plus.
• 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.
• Applicants must be authorized to work in the country where the role is located without the need for current or future sponsorship.

Pay

The salary range for this role is $80,000–$110,000. This range reflects the lowest to highest salary the firm in good faith believes it would pay at the time of posting. The final pay may vary based on factors including education, qualifications, certifications, experience, skills, seniority, location, and business needs. This role is also eligible for a discretionary bonus.

Benefits

Neuberger offers a comprehensive benefits package, including:

• Paid time off.
• Medical, dental, and vision insurance.
• Retirement contributions.
• Life insurance and other benefits for eligible employees.