Investment Guideline Compliance Vice President

Neuberger Berman; London; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading company in asset management is seeking an Investment Guideline Compliance professional to join their global Risk team. The role involves ensuring compliance with regulatory and client guidelines, collaborating with various teams to implement effective investment strategies, and maintaining high standards of investment oversight. Candidates should have a strong background in compliance, regulatory standards, and investment products, with at least 5 years of relevant experience.

Qualifications

• Experience with regulatory standards like SFDR and Net Zero initiative.
• Technical expertise in financial instruments and compliance testing.
• Background in Fund Compliance or Audit is highly desirable.

Responsibilities

• Oversee investment exclusions and ensure compliance with standards.
• Collaborate with internal teams to enforce client policies.
• Provide guidance on investment permissibility within portfolios.

Skills

Investment Compliance

Regulatory Standards

SQL

Communication

Attention to Detail

Education

5+ years of relevant experience

Tools

Aladdin

Charles River

Job description

Role Overview:

We are seeking an Investment Guideline Compliance professional to join the Asset Management Guideline Oversight (AMGO) group within the global Risk team. As an independent control group, AMGO ensures that investment portfolios comply with regulatory, prospectus, client, and internal guidelines.

The candidate will collaborate with various teams, including the Neuberger Berman Sustainability and Stewardship Investing (SSI) Team and Portfolio Managers, to ensure that all applicable firm, regulatory, and client-mandated guidelines are effectively implemented across investment portfolios. This role requires a strong understanding of evolving industry standards and regulatory requirements, as well as the ability to apply these principles across different investment portfolios.

Primary Responsibilities:

• Oversee and implement investment exclusions across Neuberger Berman’s platform, ensuring compliance with regulatory standards and client-specific requirements.
• Collaborate with internal teams such as Client Platform, Legal & Compliance, and Onboarding to define and enforce client policies and exclusions, ensuring portfolios align with client intentions and guidelines.
• Work with external research providers and internal infrastructure teams to ensure data feeds are accurate and meet expectations regarding exclusions.
• Develop and maintain policies and procedures for exclusion management within relevant systems.
• Coordinate with Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk, and Client Service on investment guideline compliance matters.
• Provide ongoing guidance to investment personnel on the permissibility of investments within portfolios.
• Apply technical knowledge of investment products and order management system compliance modules (e.g., Aladdin or Charles River).
• Exercise sound judgment to determine when issues require escalation.
• Operate effectively within a team environment while demonstrating leadership and the ability to work independently.

Preferred Experience:

• Passion for implementing controls related to investment compliance and a keen interest in evolving regulatory and industry standards.
• Understanding various regulatory standards and initiatives, such as SFDR regulation, Total Quality Standard, Net Zero initiative, and other relevant standards.
• Experience with Aladdin and/or Charles River for investment compliance is required.
• Technical expertise in investment products and financial instruments, with the ability to aggregate exposures for compliance testing.
• Technical knowledge, such as proficiency in SQL, will be an advantage.
• Background in Fund Compliance, front office trading, Operations, or Audit is highly desirable.
• Familiarity with UCITS and 1940 Act regulations is preferred.
• Strong communication skills (verbal/written) and attention to detail.
• Self-motivated with the ability to thrive in a dynamic, fast-paced environment, and proven ability to work both independently and as part of a global team.
• Suitable professional experience, at least 5 years, with a history of excellence

Neuberger Berman is an equal opportunity 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 [e-mail].

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