Compliance Analyst - Mutual Funds

About this job

The Compliance Analyst – Mutual funds position will report to the Chief Compliance Officer of Neuberger Registered Funds, including exchange traded funds (“ETF”). The primary responsibility of the position will be to focus on registered fund related compliance matters. Responsibilities: Provide support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities related to employee emails, investment guideline alerts and various fund related policies under Rule 38a-1 and Rule 206(4)-7 compliance programs Assist with various compliance matters and oversight of mutual funds, ETFs and exchange traded and non-exchange traded registered closed end-funds, including compliance matters related to the launch of ETFs and other…

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