Compliance Officer, Finance & Banking

Neuberger is a private, independent, employee-owned investment manager, offering a wide range of active strategies across equity, fixed income, private equity, real estate, and hedge funds to institutions, advisors, and individual investors worldwide. Founded on a culture of collaboration, rigorous fundamental research, and long-term thinking, the firm is committed to delivering compelling investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients.

The Compliance Officer will work regularly with the CCO–Fixed Income and other compliance and legal staff in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act of 1940 and related rules and regulations.

• Assist in the analysis, development, and implementation of policies and procedures to ensure compliance with various regulations, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations

• Review, analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC

• Review marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs

• Manage ad hoc and strategic projects, including development of surveillance reports and other technology initiatives

• Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate

• Assist the CCO in the development and administration of Advisers Act Rule 206(4)-7 compliance programs; help define and develop risk parameters, implement the programs, and review final reports

• Conduct periodic audits of compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Advisers Act 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 applicable regulatory reporting requirements

• Provide compliance guidance relating to new product development initiatives, including identifying potential compliance risks and ensuring that compliance processes and systems are developed and implemented

• Coordinate or assist in regulatory examinations and prepare information and responses to various requests

• Help develop and conduct training and education for staff relating to policies and procedures and any amendments

• Demonstrated industry experience, including compliance experience relating to the Investment Advisers Act of 1940 and related rules and regulations

• Strong preference for a graduate degree in law or business

• Must be accustomed to working independently, leading large-scale projects to completion, and functioning as a constructive member of a team

• Must work well in a team structure involving both business and support functions; experience dealing with regulatory changes and policy implementations relating to such changes

• Experience with portfolio management systems and/or compliance monitoring systems for monitoring and reporting account activity; knowledge of compliance tools such as Aladdin or similar portfolio compliance monitoring systems a plus

• Demonstrated analytical ability, strong written and oral communication skills

• Excellent interpersonal skills; ability to interact with all levels of staff, including senior management

• Regulatory experience with the SEC a plus

• Knowledge of CFTC and NFA rules and regulations a plus

• Knowledge of Investment Company Act of 1940 and regulations a plus

• Broad experience with fixed‑income markets and securities products preferable

• Must be a detail‑oriented Compliance Officer

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Applicants must be…