Senior Compliance Strategist, Private Wealth

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 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.