Compliance Analyst

Neuberger Berman is seeking an Analyst to join the Compliance Team. The primary focus of this role is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program. Responsibilities Review and analyze reports generated by the firm’s surveillance systems Communicate and address surveillance issues, as necessary Provide 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/Entertainment Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus Prepare and submit regulatory filings (i.e., Form13G and 13D filings) Assist with regulatory examinations, inquiries, investigations and projects, as necessary Deliver new hire and annual compliance training and assist with content updates Participate in compliance testing as part of the firm’s overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program Update, maintain, and draft firm policies and procedures Review and approve employee requests (e.g. gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system Partner with Technology to enhance internal review and surveillance systems Draft compliance communications for the firm Skills 1 - 5 years of investment advisory or broker-dealer compliance experience Bachelor's degree required Collaborative team player with a strong work ethic and high integrity Excellent interpersonal and communication skills; able to interact effectively with all levels of management Strong analytical skills and attention to detail; ability to manage multiple priorities Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus Benefits Paid time off Medical/dental/vision insurance Retirement Life insurance Other benefits Company Overview Neuberger Berman is an independent and employee-controlled asset management company, providing global investment solutions. It was founded in 1939, and is headquartered in New York, New York, USA, with a workforce of 1001-5000 employees. Its website is