Hiring: Compliance Analyst Company: Neuberger Location: New York, NY Job Posted Time: 2026-09-10 12:13:47 Employment Type: Hybrid Target Skills & Keywords : Derivatives About the job Experience: •1 - 5 years of investment advisory or broker-dealer compliance experience •5 years of investment advisory or broker-dealer compliance experience Required Skills: •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 Qualifications: •Bachelor's degree required •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 •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!