Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity, fixed income, liquid alternatives and private equity) in mutual fund, exchange-traded funds and closed-end fund structures.
Responsibilities:- Managing all aspects of a registered fund compliance program, including:
- Annual Rule 38a-1 compliance review;
- Maintaining compliance manual and associated policies and procedures;
- Assist with the review and oversight of third-party service providers; and
- Regular interaction with and reporting, both written and verbal, to the funds' Boards of Directors/Trustees
- Managing compliance staff dedicated to registered funds business
- Overseeing select compliance monitoring functions
- Providing ongoing compliance and regulatory advice to business personnel
- Representing Compliance in client and prospect due diligence meetings
- Coordinating compliance program within the framework of the firm's overall global compliance program
- Identify, review and respond to new and changing legal and regulatory obligations
- Interact closely with all areas and personnel within the Legal and Compliance Department, including the global head of compliance, general counsel, head of money laundering prevention and senior management
Requirements:- At least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds
- Strong knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the asset management industry
- J.D. preferred
- Superior judgment and experience with identifying and handling conflicts of interest
- Ability to manage team of direct reports
- Ability to work closely with senior business and management in fast-paced, results oriented environment
- Experience working at or leading an inspection by the SEC or FINRA, and responding to general regulatory requests or inquiries
- ETFs, Alternatives and private equity fund experience a plus
Compensation DetailsThe salary range for this role is $200,000-$250,000. 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 New York City. 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, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. 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/affirmative action 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 ...@nb.com.Learn about the Applicant Privacy Notice.