Hiring: Compliance Analyst - Mutual Funds Company: Neuberger Location: New York, NY Job Posted Time: 2026-09-10 11:00:07 Employment Type: Hybrid Target Skills & Keywords : Portfolio Management About the job Experience: •1-3 years of compliance experience related to the federal securities laws, preferably investment management compliance experience •3 years of compliance experience related to the federal securities laws, preferably investment management compliance experience Required Skills: •Provide support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities related to employee emails, investment guideline alerts and various fund related policies under Rule 38a-1 and Rule 206(4)-7 compliance programs •Assist with various compliance matters and oversight of mutual funds, ETFs and exchange traded and non-exchange traded registered closed end-funds, including compliance matters related to the launch of ETFs and other registered funds •Assist the Chief Compliance Officer – Registered Funds in preparing various board reports and communications for proprietary and/or sub-advised funds including monthly, quarterly and annual compliance checklists and documentation •Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer – Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries •Serve as a resource on compliance matters to the various fund support areas (Fund Administration, Shareholder Servicing, Risk, Guideline Oversight/ Business Control, Legal.) Qualifications: •Bachelor’s degree, graduate degree a plus •SEC regulatory, consulting or other asset management experience within the financial services industry •Operational familiarity with regulatory requirements for registered funds, including exchange-traded funds (“ETFs”) •Operational familiarity with alternative investment products and co-investment regulations a plus •Demonstrated capacity to work well in a team structure involving both business and support functions •Demonstrated capacity to interact with internal and external clients and service providers (e.g., law firms, auditors, external administrators) in the review and development of an effective review of compliance across all client accounts •Demonstrated analytical ability, strong written and oral communication skills •Excellent interpersonal skills--ability to interact with all levels of staff including senior management •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: •$80,000 - $110,000 / year Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!