Compliance Officer

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 guidelines
• Provide support and guidance to client coverage and marketing teams on regulatory matters and cross-border distribution rules
• Create new and review existing compliance policies and procedures
• Update compliance guidelines to reflect the changing regulatory environment
• Support the RFP and client services teams ensuring the appropriate and timely completion of RFPs and due diligence questionnaires
• Prepare and deliver compliance training
• Asset with the annual update of the UCITS KIIDs
• Assist with the preparation and filing of the Form ADV and other regulatory reports
• Participate in business initiatives and projects requiring compliance input
• Perform other day-to-day compliance related activities

Requirements:

• 3-5 years of experience in an asset management compliance role
• Knowledge of the European regulatory framework, in particular the FCA financial promotions rules, or similar relevant experience with marketing and cross-border distribution rules
• Experience with regulated funds, preferably with OEICs, UCITS, QIAIFs, ELTIFs
• Understanding of UCITS, MiFID II and AIFMD requirements
• Willingness to learn EMEA & LatAm regulations quickly
• Motivated and a team player, but capable of using own initiative
• Ability to work effectively under pressure and to tight deadlines
• High standard of accuracy and attention to detail
• Strong 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 [email protected].

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