Compliance Analyst - Mutual Funds

This position reports to the Chief Compliance Officer of Neuberger Registered Funds, including exchange traded funds (ETF).

Responsibilities

• Provide support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities related to employee emails, investment guideline alerts, and various fund-related policies under Rule 38a-1 and Rule 206(4)-7 compliance programs.
• Assist with various compliance matters and oversight of mutual funds, ETFs, and exchange-traded and non-exchange-traded registered closed-end funds, including compliance matters related to the launch of ETFs and other registered funds.
• Assist the Chief Compliance Officer – Registered Funds in preparing various board reports and communications for proprietary and/or sub-advised funds, including monthly, quarterly, and annual compliance checklists and documentation.
• Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer – Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports, and summaries.
• Serve as a resource on compliance matters to the various fund support areas (Fund Administration, Shareholder Servicing, Risk, Guideline Oversight/Business Control, Legal).

Qualifications

• 1-3 years of compliance experience related to the federal securities laws, preferably investment management compliance experience.
• Bachelor’s degree; graduate degree a plus.
• SEC regulatory, consulting, or other asset management experience within the financial services industry.
• Familiarity with regulatory requirements for registered funds, including exchange-traded funds (ETFs).
• Familiarity with alternative investment products and co-investment regulations a plus.
• Ability to work well in a team structure involving both business and support functions.
• Experience working with and preparing materials for presentation to Boards of Directors and/or other senior management.
• Experience working within a firm with diverse businesses (e.g., broker-dealer, investment adviser, investment companies preferred).
• Experience with portfolio management systems and/or compliance monitoring systems for use in monitoring and reporting account activity; knowledge of compliance tools such as Aladdin, Perform, or similar portfolio compliance monitoring system a plus.
• Ability to interact with internal and external clients and service providers (e.g., law firms, auditors, external administrators) in the review and development of an effective review of compliance across all client accounts.
• Demonstrated analytical ability, strong written and oral communication skills.
• Excellent interpersonal skills—ability to interact with all levels of staff including senior management.
• Must be detail-oriented.
• 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.

Pay

The salary range for this role is $80,000–$110,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. An employee’s pay position within the salary range will be based on several factors including, but not limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs.

Benefits

• Discretionary bonus.
• Paid time off.
• Medical, dental, and vision insurance.
• Retirement contributions.
• Life insurance.
• Other benefits to eligible employees.