Compliance Officer

About the role

Neuberger is a private, independent, employee-owned investment manager offering active strategies across equity, fixed income, private equity, real estate, and hedge funds to institutions, advisors, and individual investors worldwide. The Compliance Officer will collaborate with the CCO–Fixed Income and other compliance and legal staff to develop and implement policies and procedures for a registered investment adviser, with a focus on the Investment Advisers Act of 1940 and related regulations.

Responsibilities

• Assist in the analysis, development, and implementation of policies and procedures to ensure compliance with regulations including the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Review, analyze, and respond to regulatory inquiries from the SEC and NFA/CFTC
• Manage marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
• Manage ad hoc and strategic projects, including development of surveillance reports and technology initiatives
• Liaise with senior business personnel on special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies
• Assist the CCO in developing and administering Advisers Act Rule 206(4)-7 compliance programs; define risk parameters, implement programs, and review final reports
• Conduct periodic audits of compliance policies and procedures pursuant to Rule 206(4)-7 and prepare written documentation of results for submission to the CCO
• Assist the CCO in the annual review and amendments to Form ADV and other regulatory reporting requirements
• Provide compliance guidance for new product development initiatives, identifying risks and ensuring compliance processes and systems are implemented
• Coordinate or assist in regulatory examinations and prepare responses to requests
• Develop and conduct training and education for staff on policies, procedures, and amendments

Qualifications

• Industry experience, including compliance experience related to the Investment Advisers Act of 1940 and related rules and regulations
• Preference for a graduate degree in law or business
• Ability to work independently, lead large-scale projects, and function as a constructive team member
• Experience working in a team structure involving business and support functions; familiarity with regulatory changes and policy implementation
• Experience with portfolio management systems and/or compliance monitoring systems; knowledge of tools such as Aladdin or similar systems is a plus
• Strong analytical ability, written and oral communication skills
• Excellent interpersonal skills; ability to interact with all levels of staff, including senior management
• Regulatory experience with the SEC is a plus
• Knowledge of CFTC and NFA rules and regulations is a plus
• Knowledge of the Investment Company Act of 1940 and regulations is a plus
• Broad experience with fixed-income markets and securities products is preferable
• Detail-oriented approach

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–$130,000. This range is applicable only to jobs performed in the job posting location. An employee’s pay position within the range will be based on factors including education, qualifications, experience, skills, seniority, geographic location, business sector, performance, and market benchmarking data. This role is also eligible for a discretionary bonus as part of the total compensation package.

Benefits

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