Derivatives Documentation & Compliance Specialist

Neuberger; New York (NY); Hybrid; USD 100,000 - 115,000; Full time

Benefits offered by this job

Medical/dental/vision insurance

Retirement plan

Paid time off

Life insurance

Job summary

Neuberger is seeking an experienced Derivatives Assistant to join its Legal & Compliance team in New York. The role provides administrative and operational support for OTC and exchange-traded derivatives, including documentation management and coordination with trading counterparties.

You will handle KYC/AML requests, maintain entity data in databases, and collaborate with business units, risk, and tax to ensure onboarding and accurate documentation.

Qualifications

• Bachelor's degree required.
• Minimum 2+ years of experience in a role involving familiarity with trading and/or derivatives documentation.
• Prior experience as a corporate/transactional Derivatives Assistant at a law firm is a plus.
• Foundational knowledge of legal entity types, structures, and signature blocks.
• Working knowledge of KYC/AML processes.
• Proficiency with Microsoft Word (track changes, compare tools, redlining/comparison software), Excel, PowerPoint, and Outlook.

Responsibilities

• Oversee and coordinate the initial setup and maintenance of documents associated with over-the-counter and exchange-traded derivatives
• Coordinate with trading counterparties to navigate clients/funds through the credit review process, including responding to documentation and information requests from counterparties
• Maintain and update legal entity information in online databases including GMEI Utility, ISDA Amend
• Manage questionnaires in the Markit/ISDA Amend Document Exchange portal
• Track status of negotiations with banks and brokers
• Prepare and deliver responses to KYC/AML requests; oversee outside KYC/AML service providers
• Maintain complete and accurate files of derivative agreements, including entry/review of credit and collateral terms in the firm's documentation management system
• Work closely with stakeholders within business unit teams, operations, risk, and tax
• Escalate risks and issues to appropriate management to ensure onboarding is completed correctly and efficiently pursuant internal procedures

Skills

Attention to detail

Organizational skills

Communication skills

Derivatives documentation experience

KYC/AML knowledge

Education

Bachelor's degree

Tools

Microsoft Word

Excel

PowerPoint

Outlook

Job description

Neuberger is seeking an experienced Derivatives Assistant to join its Legal & Compliance team in New York. The role provides administrative and operational support for OTC and exchange-traded derivatives, including documentation management and coordination with trading counterparties.

You will handle KYC/AML requests, maintain entity data in databases, and collaborate with business units, risk, and tax to ensure onboarding and accurate documentation.