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Job Title: Compliance Manager - Central Compliance and Monitoring
Location: London, UK
About Neuberger Berman:
As a private, independent, employee-owned investment manager, Neuberger Berman is structurally aligned with the long-term interests of our clients. We have no external parent or public shareholders to serve, nor other lines of business to distract us from our core mission. And with our employees and their families invested alongside our clients - plus 100% of employee deferred cash compensation directly linked to team and firm strategies - we are truly in this together.
From offices in 28 cities worldwide, Neuberger Berman manages $255 billion across a range of equity, fixed income, private equity and hedge fund strategies on behalf of institutions, advisors and individual investors worldwide. In EMEA and Latin America, the firm has enjoyed rapid growth since regaining independence in 2009, overseeing close to $40 billion of client assets.
With more than 500 investment professionals and over 1,900 employees, Neuberger Berman has built a diverse team of individuals united in their commitment to client outcomes and investment excellence. Our culture has afforded us enviable retention rates among our senior investment staff and has earned us a citation as the top-ranked firm (among those with 1,000 or more employees) in the Pensions & Investments 2016 "Best Places to Work in Money Management" survey, after we had finished in the top three from 2013-15.
For more information, please visit our website at www.nb.com
Business: EMEA & LatAm Compliance Department
Reporting to: Senior Compliance Manager
Providing support within the EMEA & LatAm Compliance Department which is responsible for providing compliance advice and support for the fund managers, analysts, marketing, sales and product development teams and the provision of monitoring services to identify departures from regulation to enable senior management to enhance business process and controls.
Running and Overseeing the central compliance process including:
Maintaining and overseeing the personal account trading process
Maintaining and overseeing the gifts and hospitality process
Maintaining and overseeing the outside interests process
Formalising and documenting the framework of Compliance Procedures
Assisting in Compliance monitoring and production of compliance monitoring reports
Regulatory reporting including close links, short selling, etc
Maintenance of training calendar and logs. Assisting in Compliance training to the business
Responsibility for compliance set up of new joiners to the business
Assisting in sanctions screening and trade permissions
Assisting in various branch reporting and oversight
Maintenance of compliance calendar and regulatory calendar
Maintenance of Compliance intranet site
Keeping up to date and informing the firm of regulatory change
Review and revision of policies and procedures
Production of management information, including Board reports
Carrying out compliance tasks including FCA registrations and reporting
Various ad hoc projects
Supporting the EMEA & LatAm Compliance team more broadly by way of:
Production of compliance reports
Management and delivery of Compliance training program
Supporting regional branches and offices
Experience carrying out, designing and running compliance testing and monitoring (crucial);
Experience of change projects;
Experience using FCA and SEC programs, Thematic reviews and regular testing e.g. Best Execution, Market Abuse, Personal Account Dealing, Gifts & Entertainment;
Must be Excel, Word, Outlook and database literate and happy to negotiate new systems when needed;
Familiarity with Blackrock Aladdin order management system (OMS) or other Front Office OMS (desirable);
Willingness and experience carrying out adhoc compliance tasks, including (but not limited to), marketing, production of management information, collation of regulatory news and events;
Compliance experience within asset management across a broad range of strong report writing skills (crucial);
Methodical person with attention to detail, together with strong administrative skills and an analytical approach to problem solving. Needs to be able to see projects through to the end;
Ability to identify material issues and know when to escalate them;
Ability to work to very short deadlines and make quick and reasoned decisions;
Ability to prioritise effectively and manage ongoing work with ad hoc projects and deal with a variable workload;
Excellent inter-personal skills, with a strong personality, confident, highly motivated and organised, team player, but able to operate under their own initiative;
Knowledge of the FCA Handbook and systems, Gabriel, Connect, etc;
Flexible attitude to work;
Enthusiastic & willingness to learn.
Neuberger Berman is an equal opportunity/affirmative action employer. The firm and its affiliates do not discriminate in employment because of race, colour, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or because of any other criteria prohibited under controlling federal, state or local law.
Internal Number: 5960472
About Neuberger Berman Europe Ltd
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