Senior Compliance Officer

Neuberger Berman; New York (NY); Hybride; USD 187 000 - 253 000; Plein temps

Avantages offerts par ce poste

Discretionary bonus

Comprehensive benefits

Paid time off

Résumé du poste

Neuberger Berman seeks an experienced compliance professional to join its Legal & Compliance Department as Compliance Officer for the Private Wealth business. You will support regulatory programs, coordinate with regulators, and advise boards on governance matters.

The role requires strong judgment, excellent written/analytical skills, and the ability to manage multiple matters in a highly regulated financial-services environment. Hybrid work is available in New York.

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.

Responsabilités

• 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

Connaissances

Regulatory analysis

Written communication

Interpersonal skills

Project management

Judgment

Formation

Bachelor's degree

J.D.

Description du poste

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.

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Founded in 1939, Neuberger is a private, independent, employee-owned investment manager. From offices in 40 cities worldwide, the firm manages $567 billion in client assets (as of March, 2026) across a range of strategies, including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds - on behalf of institutions, advisors and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team - including 790-plus investment professionals and more than 2,900 employees in total - united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by Pensions & Investments as the first or second "Best Place to Work in Money Management" for last eight consecutive years (firms with 1,000+ employees). Neuber