Job Description
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:**
+ 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...
**Primary Responsibilities:**
+ 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...
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