Hybrid Compliance Analyst – Surveillance & Policy

Neuberger Berman; New York (NY); Hybrid; USD 80,000 - 110,000; Full time

Benefits offered by this job

Paid time off

Medical insurance

Dental insurance

Vision insurance

Retirement plan

Job summary

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

The position requires 1–5 years in investment advisory or broker-dealer compliance, a bachelor’s degree, and strong analytical and communication skills. Hybrid work arrangement in New York is provided with a discretionary bonus potential.

Qualifications

• 1–5 years of investment advisory or broker-dealer compliance experience.
• Experience with equity and fixed-income products preferred; familiarity with futures, commodities, currencies, and derivatives is a plus.

Responsibilities

• Review and analyze surveillance reports and systems.
• Communicate and address surveillance issues with business units.
• Provide guidance on policies related to Compliance Manual, Code of Ethics, and other areas.
• Prepare and submit regulatory filings (Form 13G and 13D).
• Assist with regulatory examinations and investigations.
• Deliver new hire and annual compliance training and content updates.

Skills

Analytical skills

Interpersonal skills

Effective communication

Collaborative teamwork

Education

Bachelor's degree

Tools

Global Relay Archive

Compliance system

Job description

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

The position requires 1–5 years in investment advisory or broker-dealer compliance, a bachelor’s degree, and strong analytical and communication skills. Hybrid work arrangement in New York is provided with a discretionary bonus potential.