Senior Compliance Officer

Neuberger; New York (NY); Hybrid; USD 190,000 - 250,000; Full time

Job summary

Neuberger is seeking an experienced compliance professional to lead and support programs within its Legal & Compliance Department for the Private Wealth business. The role involves coordinating with senior leaders, internal audit, risk, operations and outside counsel on regulatory and fiduciary matters.

The successful candidate will have strong judgment, excellent writing and analytical skills, and the ability to manage multiple matters in a highly regulated financial-services environment.

Qualifications

• Bachelor’s degree required; J.D. highly preferred.
• At least 5 years of relevant experience in financial-services compliance, legal, internal audit, risk management or regulatory affairs.
• Experience with investment adviser compliance, broker-dealer compliance, trust-company or banking regulation, fiduciary activities, regulatory examinations or financial-services governance desired.

Responsibilities

• Support the compliance programs for Neuberger’s Private Wealth business, including monitoring regulatory requirements and maintaining policies and procedures.
• Work with technology and business partners to develop and update compliance programs and systems.
• Assist with examinations, inquiries and information requests from the OCC, SEC, FINRA and other regulators, including coordinating document productions, drafting responses and tracking follow-up items.
• Prepare and review compliance, governance and fiduciary materials for boards and committees, including agendas, reports, resolutions, minutes and supporting materials.
• Review and update compliance manuals, trust-company policies, committee charters and related governance documentation.
• Provide compliance support regarding fiduciary administration, collective investment trusts, investment management, cash and custody activities, third-party oversight and trust-company operations.
• Assist with investment adviser and broker-dealer compliance matters, including regulatory filings, trading and reporting requirements, conflicts, disclosures and supervisory controls.
• Analyze information barrier, wall-crossing, material non-public information, restricted-list and conflict-of-interest matters.
• Conduct or coordinate compliance monitoring, testing, risk assessments and remediation activities, and help maintain clear records of conclusions and follow-up.
• Research regulatory developments and translate requirements into practical guidance, policies, training and implementation steps.
• Partner with colleagues across Legal & Compliance, business units, Internal Audit, Risk, Operations, Technology, Finance and outside counsel on cross-functional initiatives.
• Assist with special projects and other compliance matters as needed

Skills

Regulatory compliance

Legal drafting

Analytical skills

Cross-functional collaboration

Project management

Education

Bachelor's degree

J.D. preferred

Job description

Neuberger is seeking an experienced compliance professional to join its Legal & Compliance Department. The Compliance Officer will support the compliance programs within Neuberger’s Private Wealth Business, including investment adviser, broker-dealer and trust companies. The role will work closely with senior Legal & Compliance personnel, business leaders, internal audit, risk management, operations, technology and other control functions on regulatory, fiduciary and governance matters.

The successful candidate will have strong judgment, excellent written and analytical skills, and the ability to manage multiple matters in a highly regulated financial-services environment.

Responsibilities

• Support the compliance programs for Neuberger’s Private Wealth business, including monitoring regulatory requirements and maintaining policies and procedures
• Working with technology and business partners to develop and update compliance programs and systems
• Assist with examinations, inquiries and information requests from the OCC, SEC, FINRA and other regulators, including coordinating document productions, drafting responses and tracking follow-up items
• Prepare and review compliance, governance and fiduciary materials for boards and committees, including agendas, reports, resolutions, minutes and supporting materials
• Review and update compliance manuals, trust-company policies, committee charters and related governance documentation
• Provide compliance support regarding fiduciary administration, collective investment trusts, investment management, cash and custody activities, third-party oversight and trust-company operations
• Assist with investment adviser and broker-dealer compliance matters, including regulatory filings, trading and reporting requirements, conflicts, disclosures and supervisory controls
• Analyze information barrier, wall-crossing, material non-public information, restricted-list and conflict-of-interest matters
• Conduct or coordinate compliance monitoring, testing, risk assessments and remediation activities, and help maintain clear records of conclusions and follow-up
• Research regulatory developments and translate requirements into practical guidance, policies, training and implementation steps
• Partner with colleagues across Legal & Compliance, business units, Internal Audit, Risk, Operations, Technology, Finance and outside counsel on cross-functional initiatives
• Assist with special projects and other compliance matters as needed

Qualifications

• Bachelor’s degree required; J.D. highly preferred
• At least 5 years of relevant experience in financial-services compliance, legal, internal audit, risk management or regulatory affairs
• Experience with one or more of the following is strongly preferred: investment adviser compliance, broker-dealer compliance, trust-company or banking regulation, fiduciary activities, regulatory examinations or financial-services governance
• Working knowledge of applicable SEC, FINRA and fiduciary requirements; familiarity with OCC requirements and ERISA is a plus
• Demonstrated ability to analyze complex regulatory issues and communicate conclusions clearly and practically
• Excellent drafting, organizational, project-management and interpersonal skills
• Ability to exercise sound judgment, maintain confidentiality and work independently while collaborating effectively with multiple stakeholders
• Attention to detail and the ability to manage competing priorities and deadlines

LI-MB1

LI-Hybrid

Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation Details

The salary range for this role is $190,000-$250,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

Neuberger is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact [e-mail]

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