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    Compliance Analyst - New York, United States - Neuberger Berman

    Neuberger Berman
    Neuberger Berman New York, United States

    1 week ago

    Default job background
    Description

    Responsibilities:

    • Work regularly with the CCO-Alternatives and Alternatives Legal & Compliance team, as well as other divisional CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FINRA and related rules and regulations
    • Liaise calls between Alternatives business team members and (1) consultants provided by expert networks and (2) internal research analysts to ensure compliance with federal securities laws and company policies
    • Work closely with the NB Alternatives and Firm marketing departments to review and approve marketing materials and other client communications to ensure that they comply with the Advisers Act, Investment Company Act, FINRA and other applicable regulatory requirements and internal compliance policies; assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
    • Coordinate and monitor the completion of marketing, investor reporting, due diligence, and other requests (as necessary)
    • Assist in the annual review and amendments to Form ADV and other applicable regulatory reporting requirements
    • Help develop and conduct training and education to staff relating to policies and procedures and any amendments

    Qualifications:

    • Bachelor's degree (or greater), 0-2 years work experience
    • 0 - 2 years work experience, some industry experience preferred, with exposure to marketing rules and regulations
    • Prior compliance or paralegal experience a plus
    • Experience with private equity markets and securities products a plus
    • Candidate must be able to work well in a fast-paced environment within a team structure involving both business and support functions
    • Strong written and verbal communication skills
    • Excellent interpersonal and organizational skills; ability to interact with all levels of staff including senior management
    • Positive attitude, high energy, enthusiastic and detail oriented
    • Intermediate knowledge of MS Office programs, including Word, Excel and PowerPoint
    • Ability to take initiative and work with minimal supervision
    • Desire and drive to learn the business and contribute to team and organization goals
    Compensation Details

    The salary range for this role is $60,000-$80,000.

    This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting.

    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 New York City.

    An employee's 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, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs.

    This job is also eligible for a discretionary bonus.

    We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), 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 Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.

    Neuberger Berman is an equal opportunity/affirmative action 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.
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