Compliance Analyst

Neuberger; New York (NY); On-site; USD 80,000 - 110,000; Full time

Job summary

Neuberger is seeking an Analyst to join the Compliance Team in New York. The role focuses on surveillance and monitoring with opportunities to contribute across the firm’s global compliance program.

Responsibilities include reviewing surveillance reports, addressing issues, and guiding business units on policy and ethics. The position requires 1–5 years of experience and a bachelor’s degree, with a hybrid work model in New York.

Qualifications

• 1-5 years of investment advisory or broker-dealer compliance experience.
• Bachelor's degree required.
• Experience with equity and fixed-income securities products preferred; familiarity with futures, commodities, currencies, and derivatives is a plus.
• 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.

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

Analytical skills

Communication skills

Team collaboration

Attention to detail

Multi-tasking

Problem solving

Education

Bachelor's degree

Tools

Global Relay Archive

Compliance system

Job description

Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer – Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.

Primary 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

Requirements:

• 1 - 5 years of investment advisory or broker-dealer compliance experience
• Bachelor's degree required
• Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus
• 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

LI-Hybrid

LI-MB1

Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation Details

The salary range for this role is $80,000-$110,000. 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 the job posting location. 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, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, 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 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].

Learn about the Applicant Privacy Notice (https://www.nb.com/en/global/disclosure-privacy-policy).

Founded in 1939, Neuberger is a private, independent, employee-owned investment manager. From offices in 40 cities worldwide, the firm manages $567 billion in client assets (as of March, 2026) across a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds—on behalf of institutions, advisors and individual investors globally.

Tenured, stable and long-term in focus, the firm has built a diverse team—including 790-plus investment professionals and more than 2,900 employees in total—united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by Pensions & Investments as the first or second "Best Place to Work in Money Management” for last eight consecutive years (firms with 1,000+ employees).

Neuberger believes strongly that all employees are entitled to be treated with respect and dignity, and to work in a professional and safe environment. These values are the cornerstone of our firm. We prohibit any form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish to be employed by the firm are expected to uphold these principles.

For important disclosures: http://www.nb.com/linkedin