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About Neuberger Berman Founded in 1939, Neuberger Berman is a private, independent and employee-owned investment manager. The firm manages US$271 billion in equities, fixed income, private equity and hedge fund portfolios for global institutions, advisors and individuals. With offices around the world, Neuberger Berman employs over 1,900 professionals, including approximately 521 investment professionals. Neuberger Berman has been named by Pension & Investments as a "Best Place to Work in Money Management" for four consecutive years and ranked #1 in 2016. Tenured, stable and long-term in focus, the firm fosters an investment culture based on fundamental research and independent thinking.
In Asia Pacific, Neuberger Berman has offices in Beijing, Hong Kong (regional headquarters), Melbourne, Seoul, Shanghai, Singapore, Taipei and Tokyo (regional headquarters). Across the region, Neuberger Berman employs around 170 staff.
To-date, Neuberger Berman manages in excess of US$30 billion for Asian clients including some of the region's leading sovereign wealth and pension funds, insurance companies and retail and private banks. In China we are fortunate to manage money for the country's leading sovereign wealth funds and insurance companies.
Through its significant build-out in Asia Pacific, Neuberger Berman has already demonstrated its firm commitment to becoming a leading asset manager in the region. This commitment and a growing reputation for innovation within a strong, enabling and collegiate culture have allowed the firm to attract and retain some of the best quality individuals in the industry from asset managers such as Blackrock, KKR, Schroders, Aberdeen, UBS GAM and JP Morgan. Maintaining this culture is of the utmost importance to the firm and those who flourish within it clearly understand the emphasis on partnership and professionalism. Neuberger Berman firmly believes in keeping its corporate structure as "flat" as possible and would consider itself as an organisation that is decisive and strives to keep corporate bureaucracy to a minimum.
Role Based in Hong Kong, the Compliance Analyst will be a member of the compliance team covering Neuberger Berman's business activities and operations across the Asia Pacific (ex Japan/Korea) region ("NB Asia") and will report to the Head of Business Compliance, Asia Pacific (ex Japan/Korea). He/she will work closely with the NB Asia Legal and Compliance team as well as Neuberger Berman's global Compliance team on all matters related to the development, implementation and ongoing maintenance of NB Asia's compliance risk management framework.
Assisting in the development and implementation and ongoing administration (including updating) of compliance policies and procedures to reflect existing, changing and new laws, rules and regulations.
Interacting with NB Asia staff in providing guidance and education regarding applicable compliance policies and procedures, and assisting with the preparation and delivery of compliance training to ensure all NB Asia staff are aware of and familiar with such compliance policies and procedures and applicable laws, rules and regulations.
Assisting with the development, implementation and ongoing maintenance of the NB Asia Compliance Monitoring Program, including undertaking the specific monitoring prescribed under the program and conducting regular reviews of NB Asia's activities for adherence to regulatory requirements, internal policies and procedures.
Reviewing and approving marketing materials.
Overseeing the onboarding and ongoing review of client accounts, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date.
Liaising with Neuberger Berman's Asset Management Guidelines Oversight group to ensure investment guidelines (and any revisions to them) for client accounts and funds managed in Asia, as prescribed by law and regulations, client agreements, offering documents, trust deeds and/or internal policies and guidelines, are properly coded in the compliance module of the relevant order management system; and undertaking ongoing monitoring of such investment guidelines, including clearing pre-trade alerts and warnings.
Reviewing and resolving exceptions arising from the compliance monitoring program and other transactional data.
Assisting with all matters related to NB Asia's regulated activities, including: licensing and registrations; liaising with regulator(s) on routine matters; handling regulatory examinations; and, undertaking regulatory and trade reporting.
Contributing to and fostering an unfettered environment for the appropriate escalation and resolution of breaches, errors and complaints.
Providing ad hoc compliance advice and ongoing consulting.
2 years of work experience in Compliance function in the finance industry. Compliance experience is preferred.
A basic understanding / knowledge of the relevant laws, regulations, rules, codes and guidelines in Hong Kong
A degree in Accountancy, Banking, Finance, Law or a related field.
Business level fluency in reading, writing and speaking in both English and Chinese is a prerequisite; and a reasonable level of fluency in reading simplified Chinese and speaking Mandarin is preferred.
A confident, engaging and outgoing personality.
Good interpersonal and communication skills.
Pro-active work attitude; able to work autonomously and in a team.