Full-Time

Compliance Officer

& Latam Marketing and Distribution, Vice President

Confirmed live in the last 24 hours

Neuberger Berman

Neuberger Berman

Mid

London, UK

Category
PR & Communications
Growth & Marketing
Required Skills
Marketing
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)
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

Company Stage

N/A

Total Funding

$11.1B

Headquarters

New York City, New York

Founded

N/A

Simplify Jobs

Simplify's Take

What believers are saying

  • The appointment of industry veterans like Jeff Blazek could enhance Neuberger Berman's multi-asset strategy capabilities, potentially leading to superior investment performance.
  • Neuberger Berman's active involvement in municipal and real estate securities funds offers employees exposure to diverse investment strategies and potential growth opportunities.
  • The firm's expansion into Southeast Asia with the appointment of Simon Cheung indicates potential for growth in emerging markets, offering employees international exposure.

What critics are saying

  • The competitive nature of the investment management industry could pressure Neuberger Berman to continuously innovate to maintain its market position.
  • The reliance on key personnel, such as newly appointed executives, may pose risks if these individuals do not meet performance expectations.

What makes Neuberger Berman unique

  • Neuberger Berman's employee-owned structure provides a unique alignment of interests between the firm and its clients, unlike many publicly traded competitors.
  • The firm's focus on multi-asset strategies and municipal funds, as evidenced by recent appointments and fund announcements, sets it apart in the investment management landscape.
  • Neuberger Berman's strategic appointments, such as Jeff Blazek and Simon Cheung, highlight its commitment to expanding expertise in multi-asset strategies and family office coverage.

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