Summary:

Our London office is looking for a Compliance Officer to join the EMEA & LatAm Compliance Team. The team is responsible for providing compliance advice and support to all levels of staff including senior managers, fund managers, fund oversight, marketing, sales and product development teams, and for providing monitoring services to identify regulatory risks to enable senior management to enhance processes and controls.

The main focus of this role is on financial promotions and client communications, but it also includes working on other areas of UK, Switzerland, EU, MEA and LatAm regulations, as directed by the Chief Compliance Officer from time to time. It requires a close partnership with other functions within the organisation including legal, client coverage and marketing teams, as well as frequent co-operation with internal stakeholders and compliance staff across various jurisdictions.

Responsibilities:

Review and approve financial promotions, client reports and other client communications relating to funds and strategies, to ensure compliance with the applicable rules and internal guidelinesProvide support and guidance to client coverage and marketing teams on regulatory matters and cross-border distribution rulesCreate new and review existing compliance policies and proceduresUpdate compliance guidelines to reflect the changing regulatory environmentSupport the RFP and client services teams ensuring the appropriate and timely completion of RFPs and due diligence questionnairesPrepare and deliver compliance trainingAsset with the annual update of the UCITS KIIDsAssist with the preparation and filing of the Form ADV and other regulatory reportsParticipate in business initiatives and projects requiring compliance inputPerform other day-to-day compliance related activities

Requirements:

3-5 years of experience in an asset management compliance roleKnowledge of the European regulatory framework, in particular the FCA financial promotions rules, or similar relevant experience with marketing and cross-border distribution rulesExperience with regulated funds, preferably with OEICs, UCITS, QIAIFs, ELTIFsUnderstanding of UCITS, MiFID II and AIFMD requirementsWillingness to learn EMEA & LatAm regulations quicklyMotivated and a team player, but capable of using own initiativeAbility to work effectively under pressure and to tight deadlinesHigh standard of accuracy and attention to detailStrong communication skills (oral and written, including report writing)

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 onlineaccommodations@nb.com.

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