What are the responsibilities and job description for the Compliance Analyst position at Neuberger Berman?
The Compliance Analyst – Registration will serve an initial liaison between new hires and the Legal and Compliance Department, as well as a coordinator of all aspects of the registration and licensing process of employees.
Responsibilities :
Provide registration related support for approximately 1000 broker dealer agents and investment adviser representatives
Ensuring timely processing of all FINRA Form U4 / U5 and NFA Form 8R / 8T filings for registrations, address changes, name changes, exam windows, disclosures, terminations and more
Run and analyze pre-hire CRD requests for potential new hires
Order study materials and classes for employees required to obtain licenses
Schedule employees’ exams as well as maintain calendar of deadlines for employees’ exam requirements
Monitor, track, and send notifications for registration-related continuing education requirements (Annual Regulatory Element, IAR CE, NFA Ethics and Swaps Proficiency trainings)
Process onboarding of compliance documentation each week for North American new hires : track fingerprint card submissions, distribute compliance manual / code of ethics affirmation, review new hire personal account documentation and distribution of employee personal trading policy;
Review RAPP sheets in FINRA Gateway, report findings to HCM and respond to FINRA inquiries;
File and maintain National Futures Association registrations online for Principals and Associated Persons
Monitor and review daily email communication of employees to ensure compliance with industry as well as internal rules and regulations
Review and update registration policies and procedures annually and / or as required
Qualifications : Bachelor’s degree
Prior experience in a broker-dealer registration function strongly preferred
Prior experience with FINRA’s Gateway and NFA’s ORS systems
Strong written and verbal communication skills, and interpersonal and client servicing skills
Ability to organize, prioritize, manage multiple tasks, and keep apprised on open items
Detail oriented and organized with strong follow-up skills
Team player and a desire to collaborate with others
LI-MB1
LI-HYBRID
Compensation Details
The salary range for this role is $75,000-$100,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical / dental / vision insurance, 401(k), life insurance and other benefits to eligible employees.
Note : No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.
Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact .
Learn about the .
Salary : $75,000 - $100,000
