Hybrid Compliance Analyst - Mutual Funds & ETFs

LGBT Great; New York (NY); Hybrid; USD 80.000 - 110.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Regulatory knowledge

ETF familiarity

Team collaboration

Board communications

Analytical skills

Communication skills

Ausbildung

Bachelor's degree

Graduate degree

Tools

Aladdin

Perform

Jobbeschreibung

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.