Full Job Description
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
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affiliates do not discriminate in employment because of race, creed,
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orientation, gender identity, disability, citizenship status or
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