Location
New York, NY, United States
Posted
July 25, 2026
Job Description
Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer – Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.
**Primary Responsibilities:**
+ Review and analyze reports generated by the firm’s surveillance systems.
+ Communicate and address surveillance issues, as necessary
+ Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment
+ Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus
+ Prepare and submit regulatory filings (i.e., Form13G and 13D filings)
+ Assist with regulatory examinations, inquiries, investigations and projects, as necessary
+ Deliver new...
**Primary Responsibilities:**
+ Review and analyze reports generated by the firm’s surveillance systems.
+ Communicate and address surveillance issues, as necessary
+ Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment
+ Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus
+ Prepare and submit regulatory filings (i.e., Form13G and 13D filings)
+ Assist with regulatory examinations, inquiries, investigations and projects, as necessary
+ Deliver new...