Compliance Analyst at Neuberger Berman

Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer Central this role the primary focus is surveillance and monitoring with opportunities to contribute to collaborative projects across the firms global compliance program. Primary Responsibilities:Review and analyze reports generated by the firms surveillance systems.Communicate and address surveillance issues as necessaryProvide 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/EntertainmentConduct email surveillance experience with Global Relay Archive & Compliance system a plusPrepare and submit regulatory filings (i.e. Form13G and 13D filings)Assist with regulatory examinations inquiries investigations and projects as necessaryDeliver new hire and annual compliance training and assist with content updatesParticipate in compliance testing as part of the firms overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 programUpdate maintain and draft firm policies and proceduresReview and approve employee requests (e.g. gifts/entertainment political contributions outside business activities and private investments) in the internal compliance systemPartner with Technology to enhance internal review and surveillance systemsDraft compliance communications for the firmRequirements:1 - 5 years of investment advisory or broker-dealer compliance experienceBachelors degree requiredExperience with equity and fixed-income securities products preferred; familiarity of futures commodities currencies and derivatives is a plusCollaborative team player with a strong work ethic and high integrityExcellent interpersonal and communication skills; able to interact effectively with all levels of managementStrong analytical skills and attention to detail; ability to manage multiple priorities#LI-Hybrid#LI-MB1Neuberger Berman is unable to offer visa sponsorship for this position. Applicants must be authorized to work in the United States without the need for current or future sponsorship.Compensation DetailsThe salary range for this role is $85000-$105000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but 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. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance retirement life insurance and other benefits to eligible employees.Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .Learn about the Applicant Privacy Notice.Required Experience:IC Key Skills Abinitio,Apprentice,Dermatology,Cost Estimation,Data Networking,Liaison Employment Type : Full-Time Experience: years Vacancy: 1 Monthly Salary Salary: 85000 - 105000