- Oversee all functional elements of the AMGO team, including staffing, hiring, coaching and performance reviews, and compensation
- Manage the strategic direction of the team, developing, tracking and reporting key metrics, and planning to support growth and evolving business needs
- Interact and coordinate with senior leadership across broad functional areas, including Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment guideline compliance issues
- Oversee all asset classes, including Equities, Fixed Income and Alternatives, and build out processes and controls in growth areas
- Serve as a point of escalation for Portfolio Managers and leadership of other functional areas, as well as AMGO group members, as needed
- Provide guidance to AMGO team members as it relates to task management and daily pre and post trade compliance responsibilities in applicable order management systems (onboarding pipeline, reviewing and addressing alerts, communicating with Portfolio Managers, project management, etc.)
- Maintain all applicable policies and procedures associated with the AMGO group
- Represent the team in cross-functional projects and committees, and provide input and direction in furtherance of the goals of the team
- Represent the AMGO group in client operational due diligence presentations, regulatory visits, and forums with executive management, as may be required
- Build and establish strong relationships with internal clients; maintain a high degree of visibility within the organization
- Extremely goal-oriented and a true team player; the highest integrity as it relates to corporate standards and compliance
- 10 years of experience in investment guideline compliance in an Asset Management firm, with at least 5 years of experience managing a team
- Experience utilizing Aladdin for guideline compliance is critical
- Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing
- Thorough understanding of UCITS and 1940 Act regulations, and their application to investment portfolios; familiarity with other global standards preferred
- Familiarity with ESG related guidelines and managing pre and post trade controls associated with ESG
- University degree; advanced degree and industry designations such as MBA, CFA, FRM preferred
- Fund Compliance, front office trading, Operations or Audit experience also highly desirable
- Executive level communicator with the ability to communicate effectively across all functions and seniority levels; experience delivering presentations to executive management
- Self-motivated individual with the ability to thrive in a dynamic and fast-paced environment, proven ability to work successfully independently and as part of a global team
- A change agent, with success managing and delivering complex projects and process improvement initiatives
-
Goldman Sachs New York, United StatesGlobal Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management progra ...
-
Compliance, Compliance Testing Group
3 weeks ago
Goldman Sachs New York, United StatesMORE ABOUT THIS JOB: · GLOBAL COMPLIANCE · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide complian ...
-
Goldman Sachs New York, United StatesGlobal Compliance · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management prog ...
-
Compliance, Business Intelligence Group, Analyst
2 weeks ago
Goldman Sachs New York, United StatesGlobal Compliance · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management prog ...
-
Goldman Sachs New York, NY, United States Full timeGlobal Compliance · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance · Compliance accomplishes these through the firm's enterprise-wide compliance risk management pr ...
-
Neuberger Berman New York, United StatesNeuberger Berman is an independent, employee-owned, global asset management firm, serving the financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and com ...
-
Control Group Compliance Officer
18 hours ago
DataAxxis Jersey City, United States**Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...
-
Goldman Sachs New York, NY, United States Full timeGlobal Compliance · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance · Compliance accomplishes these through the firm's enterprise-wide compliance risk management p ...
-
Goldman Sachs New York, United StatesGlobal Compliance · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management prog ...
-
Deutsche Bank New York, United States Regular, Full timeJob Description: · Job Title Group Tax Americas, Reporting and Compliance, Tax Senior Specialist · Corporate Title Vice President · Location New York, NY · Overview · The Tax Compliance and Reporting team within Group Tax Americas, which supports Deutsche Bank's business in the ...
-
Registered Nurse, RN Full Time
2 weeks ago
Apex Home Healthcare Orange City, United States Full timeWe are hiring a Registered Nurse This position is Full Time, Home Health Visits · The Registered Nurse in Home Health provides and directs provisions of nursing care to patients in their homes as prescribed by the physician and in compliance with applicable laws, regulations, and ...
-
Eclipse Enterprises Hudson, United StatesThe Schwarz IT manages the entire digital infrastructure and all software solutions for the companies of the Schwarz Group. This includes the selection, provision, operation, and further development of IT infrastructures, IT platforms, and business applications. In order to suppo ...
-
Assistant Nurse Manager- Medicine
5 days ago
NYU Langone Health New York, United StatesNYU Langone Health is a world-class, patient-centered, integrated academic medical center, known for its excellence in clinical care, research, and education. It comprises more than 200 locations throughout the New York area, including five inpatient locations, a children's hosp ...
-
Sr. Ambulatory Care Nurse
5 days ago
NYU Langone Health New York, United StatesNYU Grossman School of Medicine is one of the nation's top-ranked medical schools. For 175 years, NYU Grossman School of Medicine has trained thousands of physicians and scientists who have helped to shape the course of medical history and enrich the lives of countless people. An ...
-
NYU Langone Health Brooklyn, United StatesNYU Grossman School of Medicine is one of the nation's top-ranked medical schools. For 175 years, NYU Grossman School of Medicine has trained thousands of physicians and scientists who have helped to shape the course of medical history and enrich the lives of countless people. An ...
-
RSM US LLP New York, United States Full timeWe are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture ...
-
Compliance Managing Director
5 days ago
Private Equity Firm New York, United StatesJob Overview – Compliance Managing Director: · Our client, a Private Equity firm, is seeking a Compliance Managing Director for their growing team. This position involves collaboration with compliance heads across all groups. · Compensation: $250,000 - $300,000 base salary plus b ...
-
Compliance Manager
1 week ago
BP Energy Church Street, United StatesEntity: · Strategy, Sustainability & Ventures · Job Family Group: · Ethics & Compliance Group · Job Description: · About us · Our purpose is to bring together people, energy and markets to power and navigate a changing world. In a time of constant change and possibility we nee ...
-
Business Control Officer
1 week ago
SMBC Group New York, United States Full timeThe anticipated salary range for this role is between $113,000.00 and $165, The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar ro ...
-
Compliance Analyst
3 weeks ago
Atlantic Group New York, United StatesLocation: NYC - Midtown (3-4 days in office) · Compensation: $100k-$120k base + bonus ($20k-$30k) · A global investment firm is seeking to hire a Compliance Analyst who will work closely with the firm's Compliance Officer to support the compliance program. This role is a great op ...
Head of the Portfolio Guideline Compliance Group - New York, United States - Neuberger Berman
Description
Neuberger Berman is an independent, employee-owned, global asset management firm, serving the financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and commodities, in addition to portfolio advice and wealth planning services. We offer a broad platform to accommodate the evolving needs of our clients.
The Asset Management Guideline Oversight ("AMGO") group serves a critical function within the global Risk group. As an independent control group, AMGO is responsible for ensuring that investment portfolios remain compliant with regulatory, prospectus, client and internal guidelines. The role requires a technical understanding of investment products across all asset classes, and the functionality of order management system compliance modules (such as Aladdin, Charles River, Investor Tools, and Eze Castle).
The Head of AMGO will utilize their experience and expertise to provide ongoing guidance to investment personnel and team members as it relates to determining whether investments are permissible in investment portfolios. The Head of AMGO will provide oversight across all asset classes, including Equities, Fixed Income, and Alternatives, and will be situated in the New York Headquarters.
The candidate will demonstrate leadership qualities and the ability to work with considerable independence, managing a global team across locations in the US, Europe and APAC. As an experienced hire, it is expected that the candidate will be able to hit the ground running, and make an immediate impact.
Responsibilities:
Requirements:
Compensation Details
The salary range for this role is $200,000-$250,000. 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 .
Head of the Portfolio Guideline Compliance Group professionals in New York City
-
Taimoor Mubashar
Design and creative professional. Photographer
-
Jean Duciau
Mortgage Underwriter
-
Annette Puglia
Wealth Client Services / Operations Manager
-
teresa zhou
Experince Tax manager
-
Jaimin Patel
Agile-Scrum Master-PM-PO-Delivery / Lead-Manager
-
Yasir Iqbal
Client Finance Manager