Senior Compliance Officer — Private Wealth Governance

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

Benefits offered by this job

Paid time off

Medical/dental/vision insurance

Retirement plan

Life insurance

Job summary

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 and other control functions on regulatory, fiduciary and governance matters.

Qualifications

• Bachelor’s degree required; J.D. highly preferred.
• Strong regulatory and fiduciary knowledge with excellent judgment.
• Excellent written and analytical skills; ability to manage multiple matters.

Responsibilities

• Support compliance programs for Neuberger’s Private Wealth business and regulatory requirements.
• Collaborate with technology and business partners to update compliance systems and controls.
• Assist with examinations, inquiries and information requests from OCC, SEC, FINRA and other regulators.

Skills

Regulatory compliance

Fiduciary governance

Analytical writing

Stakeholder 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 and other control functions on regulatory, fiduciary and governance matters.