The board
- Hours
- Full time
- Where
- New York, NY
- Posted
- Sep 2
Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer – Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.
Primary Responsibilities:
What you'd do
- Review and analyze reports generated by the firm’s surveillance systems.
- Communicate and address surveillance issues, as necessary
- Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment
- Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus
- Prepare and submit regulatory filings (i.e., Form13G and 13D filings)
- Assist with regulatory examinations, inquiries, investigations and projects, as necessary
- Deliver new hire and annual compliance training and assist with content updates
- Participate in compliance testing as part of the firm’s overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program
- Update, maintain, and draft firm policies and procedures
- Review and approve employee requests (e.g. gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system
What they want
- 1 - 5 years of investment advisory or broker-dealer compliance experience
- Bachelor's degree required
- Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus
- Collaborative team player with a strong work ethic and high integrity
- Excellent interpersonal and communication skills; able to interact effectively with all levels of management
- Strong analytical skills and attention to detail; ability to manage multiple priorities
- Starts
- 2026-07-24