Compliance Associate

Responsibilities:

• Responsible and accountable for routine monitoring checks and related processes, to help ensure the company's day-to-day activities follow internal policies and relevant laws
• Help senior compliance team members keep the company's compliance program up to date with regulations, company policies, and industry best practices
• Help track and organize regulatory updates, and assist in preparing for regulatory inspections, reviews, and reporting requirements
• Assist with client onboarding — helping check that required background and eligibility checks (e.g. identity verification, source of funds) are completed and kept up to date
• Support the preparation of internal communications and training materials to help staff understand compliance policies
• Assist with reviewing marketing materials and due diligence requests before they go out
• Provide support during audits, by helping gather and organize requested information
• Provide general administrative and project support to the Compliance team as needed

Requirements:

• Polytechnic Diploma (in a relevant field such as business, law, or finance preferred, but not required); open to recent graduates — no prior work experience required
• Business-level fluency in reading, writing, and speaking English is a prerequisite; a reasonable level of fluency in Mandarin is preferred
• Strong interpersonal and communication skills, with a confident, engaging, and outgoing personality
• Strong analytical skills with attention to detail
• Strong organizational and time management skills, with the ability to multi-task under competing deadlines
• A willingness to use initiative, and an ability to work both independently and within a small team
• Able to work under pressure in a fast-paced environment
• Self-motivated, with a willingness to learn and grow within a compliance function
• Proficiency in Microsoft 365


Visa sponsorship may be available for qualified candidates. Sponsorship decisions will be made in accordance with company policy and applicable laws.

Neuberger is an equal opportunity 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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