Compliance Officer

Neuberger Berman; Chicago (IL); On-site; USD 80,000 - 130,000; Full time

Benefits offered by this job

Paid time off

Medical/dental/vision insurance

Retirement plan

Life insurance

Job summary

Neuberger Berman seeks a Compliance Officer to work with the CCO and legal staff on policies and procedures for a registered investment adviser, emphasizing the Advisers Act of 1940 and related rules.

You will review regulatory inquiries, marketing materials, and oversee compliance programs, audits, and training. The role fuses policy development with cross-functional coordination in a hybrid, Chicago-based setting.

Qualifications

• Compliance experience relating to the Investment Advisers Act of 1940 and related rules and regulations.
• Graduate degree in law or business preferred.
• Ability to work independently, lead large-scale projects to completion, and collaborate with teams.
• Experience with portfolio management systems and compliance monitoring systems (Aladdin a plus).
• Demonstrated analytical ability and strong written/oral communication skills.
• SEC regulatory experience is a plus.

Responsibilities

• Assist in developing and implementing policies to ensure compliance with the Investment Advisers Act of 1940 and related rules.
• Review regulatory inquiries from the SEC and NFA/CFTC and respond as needed.
• Review marketing materials, advertising and RFP/DDQ materials for compliance.
• Manage ad hoc and strategic projects, including surveillance reports and tech initiatives.
• Liaise with senior personnel on regulatory initiatives and policy guidance.
• Assist the CCO with Advisers Act Rule 206(4)-7 compliance programs and risk parameter development.
• Conduct periodic audits of compliance policies and document results for the CCO.
• Assist with annual Form ADV review and regulatory reporting requirements.
• Provide guidance on new product development risks and compliance requirements.
• Coordinate regulatory examinations and prepare information responses.
• Develop and conduct staff training on policies and amendments.

Skills

Compliance experience

Independent work

Project leadership

Team collaboration

Analytical skills

Written and verbal communication

Interpersonal skills

SEC regulatory experience

CFTC/NFA knowledge

Investment Company Act knowledge

Fixed income knowledge

Education

Graduate degree in law or business

Tools

Aladdin

Job description

About Us

Neuberger is a private, independent, employee-owned investment manager, offering a wide range of active strategies across equity, fixed income, private equity, real estate, and hedge funds to institutions, advisors, and individual investors worldwide. Founded on a culture of collaboration, rigorous fundamental research, and long-term thinking, the firm is committed to delivering compelling investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients.

Compliance Officer

The Compliance Officer will work regularly with the CCO-Fixed Income and other compliance and legal staff in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act of 1940 and related rules and regulations.

Responsibilities

• Assist in the analysis, development, and implementation of policies and procedures to ensure compliance with various regulations, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations


• Review, analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC


• Review marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs


• Manage ad hoc and strategic projects, including development of surveillance reports and other technology initiatives


• Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate


• Assist the CCO in the development and administration of Advisers Act Rule 206(4)-7 compliance programs; help define and develop risk parameters, implement the programs, and review final reports


• Conduct periodic audits of compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Advisers Act and prepare written documentation of results for submission to the CCO


• Assist the CCO in the annual review and amendments to Form ADV and other applicable regulatory reporting requirements


• Provide compliance guidance relating to new product development initiatives, including identifying potential compliance risks and ensuring that compliance processes and systems are developed and implemented


• Coordinate or assist in regulatory examinations and prepare information and responses to various requests


• Help develop and conduct training and education for staff relating to policies and procedures and any amendments

Qualifications

• Demonstrated industry experience, including compliance experience relating to the Investment Advisers Act of 1940 and related rules and regulations


• Strong preference for a graduate degree in law or business


• Must be accustomed to working independently, leading large-scale projects to completion, and functioning as a constructive member of a team


• Must work well in a team structure involving both business and support functions; experience dealing with regulatory changes and policy implementations relating to such changes


• Experience with portfolio management systems and/or compliance monitoring systems for monitoring and reporting account activity; knowledge of compliance tools such as Aladdin or similar portfolio compliance monitoring systems a plus


• Demonstrated analytical ability, strong written and oral communication skills


• Excellent interpersonal skills; ability to interact with all levels of staff, including senior management


• Regulatory experience with the SEC a plus


• Knowledge of CFTC and NFA rules and regulations a plus


• Knowledge of Investment Company Act of 1940 and regulations a plus


• Broad experience with fixed-income markets and securities products preferable


• Must be a detail-oriented Compliance Officer

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-$130,000. 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.

Equal Opportunity

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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About Neuberger

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 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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