Compliance Analyst - Mutual Funds

LGBT Great; New York (NY); Hybrid; USD 80,000 - 110,000; Full time

Job summary

Neuberger Registered Funds is seeking a Compliance Analyst – Mutual funds to support the Chief Compliance Officer in regulatory matters for registered funds, including ETFs. The role focuses on ensuring adherence to Rule 38a-1 and Rule 206(4)-7 across mutual funds and related products.

You will assist in surveillance, prepare board materials, and contribute to the administration of compliance programs, working with fund support areas and external service providers. Hybrid work in New York.

Qualifications

• 1-3 years of compliance related to federal securities laws.
• Bachelor’s degree; graduate degree a plus.
• SEC regulatory or asset management experience within financial services.
• Familiarity with registered funds, including ETFs.
• Experience with portfolio management systems or compliance tools.

Responsibilities

• Provide support on compliance matters for registered funds, incl. surveillance and Rule 38a-1/Rule 206(4)-7 programs.
• Assist with compliance oversight of mutual funds and ETFs, incl. launches.
• Prepare board reports and communications for funds, including quarterly and annual checklists.
• Assist in administration of compliance programs and quarterly/annual assessments.
• Serve as a resource to fund support areas on compliance matters.

Skills

Regulatory knowledge

ETF familiarity

Team collaboration

Board communications

Analytical skills

Communication skills

Education

Bachelor's degree

Graduate 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. 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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