Compliance & Surveillance Analyst (Hybrid, NY)

LGBT Great; New York (NY); Hybrid; 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 to collaborative projects across the firm’s global compliance program.

You will review surveillance reports, provide guidance on policies, and assist with regulatory filings and examinations. The position requires a bachelor’s degree and strong analytical, communication, and teamwork skills.

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 in the internal compliance system
• Partner with Technology to enhance internal review and surveillance systems
• Draft compliance communications for the firm

Skills

Strong analytical skills

Excellent interpersonal communication

Collaborative

Ability to manage multiple priorities

High integrity

Education

Bachelor's degree

Tools

Global Relay Archive

Job description

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

You will review surveillance reports, provide guidance on policies, and assist with regulatory filings and examinations. The position requires a bachelor’s degree and strong analytical, communication, and teamwork skills.