Mutual Funds Compliance Analyst — Hybrid

Neuberger Berman

New York (NY)

Hybrid

USD 80,000 - 110,000

Full time

14 days+

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Job summary

Neuberger Berman seeks a Compliance Analyst – Mutual funds to support registered funds compliance matters, including ETFs, with the Chief Compliance Officer – Registered Funds. You will assist with board reports, policy monitoring, and surveillance programs under Rule 38a-1 and Rule 206(4)-7, collaborating across Funds Administration, Risk, and Legal.

Candidates should have 1–3 years of relevant experience and a Bachelor's degree; familiarity with funds, ETFs, and portfolio monitoring tools is a

Qualifications

1–3 years of compliance experience related to federal securities laws, preferably asset management.
Bachelor’s degree; graduate degree a plus.
SEC regulatory or asset management experience within financial services.
Familiarity with regulatory requirements for registered funds including ETFs.
Familiarity with alternative investment products and co-investment regs a plus.
Ability to work well in a team structure involving business and support functions.
Experience presenting materials for Boards of Directors and senior management.

Responsibilities

Provide support on general compliance matters and projects for registered funds.
Assist with compliance matters and oversight of mutual funds, ETFs and registered funds.
Assist in preparing board reports and compliance documentation for funds.
Support administration of compliance programs under Rule 38a-1 and Rule 206(4)-7.
Serve as a resource on compliance matters to fund support areas.