Compliance Analyst - Mutual Funds

Neuberger Berman; New York (NY); Hybrid; USD 80,000 - 110,000; Full time

Job summary

Neuberger Berman seeks a Compliance Analyst – Mutual funds to support registered funds compliance matters, including ETFs, with the Chief Compliance Officer – Registered Funds. You will assist with board reports, policy monitoring, and surveillance programs under Rule 38a-1 and Rule 206(4)-7, collaborating across Funds Administration, Risk, and Legal.

Candidates should have 1–3 years of relevant experience and a Bachelor's degree; familiarity with funds, ETFs, and portfolio monitoring tools is a

Qualifications

• 1–3 years of compliance experience related to federal securities laws, preferably asset management.
• Bachelor’s degree; graduate degree a plus.
• SEC regulatory or asset management experience within financial services.
• Familiarity with regulatory requirements for registered funds including ETFs.
• Familiarity with alternative investment products and co-investment regs a plus.
• Ability to work well in a team structure involving business and support functions.
• Experience presenting materials for Boards of Directors and senior management.

Responsibilities

• Provide support on general compliance matters and projects for registered funds.
• Assist with compliance matters and oversight of mutual funds, ETFs and registered funds.
• Assist in preparing board reports and compliance documentation for funds.
• Support administration of compliance programs under Rule 38a-1 and Rule 206(4)-7.
• Serve as a resource on compliance matters to fund support areas.

Skills

Compliance experience

Regulatory knowledge

Communication skills

Analytical ability

Team collaboration

Education

Bachelor's degree

Tools

Aladdin

Perform

Job description

The Compliance Analyst – Mutual funds position will report to the Chief Compliance Officer of Neuberger Registered Funds, including exchange traded funds(“ETF”). The primary responsibility of the position will be to focus on registered fund related compliance matters.

Responsibilities

• Provide support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities related to employee emails, investment guideline alerts and various fund related policies under Rule 38a-1 and Rule 206(4)-7 compliance programs
• Assist with various compliance matters and oversight of mutual funds, ETFs and exchange traded and non-exchange traded registered closed end-funds, including compliance matters related to the launch of ETFs and other registered funds
• Assist the Chief Compliance Officer – Registered Funds in preparing various board reports and communications for proprietary and/or sub-advised funds including monthly, quarterly and annual compliance checklists and documentation
• Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer – Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries
• Serve as a resource on compliance matters to the various fund support areas (Fund Administration, Shareholder Servicing, Risk, Guideline Oversight/ Business Control, Legal.)

Qualifications

• 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 LI-MB1 LI-Hybrid 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.

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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.

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