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_ _onlineaccommodations@nb.com_ _._ _Learn about the Applicant Privacy Notice (https://www.nb.com/en/global/disclosure-privacy-policy) ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager. From offices in 39 cities worldwide, the firm manages $481 billion in client assets (as of June 30, 2024) across a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds—on behalf of institutions, advisors and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team—including 750-plus investment professionals and more than 2,800 employees in total—united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by _Pensions & Investments_ as the first or second "Best Place to Work in Money Management” for last eight consecutive years (firms with 1,000+ employees). Neuberger Berman believes strongly that all employees are entitled to be treated with respect and dignity, and to work in a professional and safe environment. These values are the cornerstone of our firm. We prohibit any form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish to be employed by the firm are expected to uphold these principles. For important disclosures: http://www.nb.com/linkedin