Compliance Analyst - Mutual Funds

The Compliance Analyst – Mutual funds position will report to the Chief Compliance Officer of Neuberger Registered Funds, focusing on registered fund related compliance matters. The role involves providing support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities. The position requires assisting with various compliance matters and oversight of mutual funds, ETFs, and exchange traded registered closed end-funds.

What You Will Do

The primary responsibilities of the position include providing support on general compliance matters and projects related to the registered funds business, assisting with various compliance matters, and overseeing mutual funds, ETFs, and exchange traded registered closed end-funds.

Why It Might Be a Fit

To be a fit for this role, you should have 1-3 years of compliance experience related to the federal securities laws, preferably investment management compliance experience. You should also have a Bachelor’s degree, with a graduate degree a plus, and experience working with regulatory requirements for registered funds, including exchange-traded funds (ETFs).

Requirements

• 1-3 years of compliance experience related to the federal securities laws
• preferably investment management compliance experience
• Bachelor’s degree, graduate degree a plus
• SEC regulatory, consulting or other asset management experience within the financial services industry
• Familiarity with regulatory requirements for registered funds, including exchange-traded funds (ETFs)
• Familiarity with alternative investment products and co-investment regulations a plus
• Ability to work well in a team structure involving both business and support functions
• Experience working with and preparing materials for presentation to Boards of Directors and/or other senior management
• Experience working within a firm with diverse businesses (e.g., broker-dealer, investment adviser, investment companies preferred)
• Experience with portfolio management systems and/or compliance monitoring systems for use in monitoring and reporting account activity
• Knowledge of compliance tools such as Aladdin, Perform or similar portfolio compliance monitoring system a plus
• Ability to interact with internal and external clients and service providers (e.g., law firms, auditors, external administrators) in the review and development of an effective review of compliance across all client accounts
• Demonstrated analytical ability, strong written and oral communication skills
• Excellent interpersonal skills--ability to interact with all levels of staff including senior management
• Must be detail oriented

Benefits

• paid time off
• medical/dental/vision insurance
• retirement
• life insurance
• discretionary bonus
• total comprehensive package