Senior compliance analyst

Neuberger Berman is looking for a Registration Specialist to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees with licensing and registration matters, including working with various regulators, managing applications, updating licenses, overseeing terminations, state registrations, and related regulatory reporting.

Key Responsibilities:

• Review and complete pre-hire Workday requests for potential new hires

• Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute new hire documents (compliance manual, brokerage account disclosure policy, code of ethics affirmation), review background checks and advise on necessary exams

• Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s, Form BR/BD, and NFA Form 8R/8T filings and any other required amendments

• Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements

• Manage FINRA Gateway queues, reports, and information requests

• Provide reporting to business management, supervision and compliance teams to ensure regulatory requirements are met

• Research and respond to regulatory inquiries related to disciplinary histories, terminations for cause, etc.

• Coordinate study materials, and regulatory exam preparation for employeesMonitor and review email communications as part of compliance controls

• Review and update registration policies and procedures annually and/or as required

Qualifications:

• Bachelor's degree in a related business field

• 3-5 years' experience in registration, licensing, or compliance within a broker-dealer or investment adviser

• Proactive, self-motivated, and highly organized

• Strong interpersonal, oral, and written communication skills

• Understanding of FINRA, SEC, and state registration/licensing requirements

• Excellent computer skills (Excel, Microsoft Office Suite, Workday)

• Skilled at managing multiple deadlines and prioritizing tasks

• Proficient in regulatory platforms (FINRA Gateway CRD/IARD, NFA ORS)

• Demonstrated ability to adapt to regulatory changes and update policies accordingly

• Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers

• Experience supporting audits and regulatory examinations related to registration and licensing

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Compensation Details

The salary range for this role is $95,000-$125,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.

Neuberger Berman 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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Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager. From offices in 39 cities worldwide, the firm manages $515 billion in client assets (as of March 31, 2025) across a range of strategies-including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds-on behalf of institutions, advisors and individual investors globally.

Tenured, stable and long-term in focus, the firm has built a diverse team-including 760-plus investment professionals and more than 2,800 employees in total-united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by Pensions & Investments as the first or second "Best Place to Work in Money Management" for last eight consecutive years (firms with 1,000+ employees).

Neuberger Berman believes strongly that all employees are entitled to be treated with respect and dignity, and to work in a professional and safe environment. These values are the cornerstone of our firm. We prohibit any form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish to be employed by the firm are expected to uphold these principles.

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