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 analyst will assist with various compliance matters and oversight of mutual funds, ETFs, and exchange-traded registered closed-end funds.

What You Will Do

Responsibilities include providing support on general compliance matters, assisting with compliance projects, and serving as a resource on compliance matters to various fund support areas. The analyst will also assist in the administration of compliance programs and prepare reports and summaries for the Chief Compliance Officer – Registered Funds.

Why It Might Be a Fit

To be successful in this role, you will need 1-3 years of compliance experience related to federal securities laws, preferably investment management compliance experience. You should be familiar with regulatory requirements for registered funds, including exchange-traded funds, and have experience working with portfolio management systems and/or compliance monitoring systems.

Requirements

• 1-3 years of compliance experience related to federal securities laws
• Bachelor’s degree
• SEC regulatory, consulting or other asset management experience within the financial services industry
• Familiarity with regulatory requirements for registered funds, including exchange-traded funds
• 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
• 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
• Comprehensive package of benefits