Compliance Officer, Marketing and Distribution Compliance

About Neuberger:

Neuberger was founded in 1939 to do one thing: deliver compelling investment results for our clients over the long term. This remains our singular purpose today, driven by a culture rooted in deep fundamental research, the pursuit of investment insight and continuous innovation on behalf of clients, and facilitated by the free exchange of ideas across the organization.

As a private, independent, employee-owned investment manager, Neuberger is structurally aligned with the long-term interests of our clients. We have no external parent or public shareholders to serve, nor other lines of business to distract us from our core mission, and with our employees and their families invested alongside our clients - plus 100% of employee deferred cash compensation directly linked to team and firm strategies - we are truly in this together.

From offices in 40 cities worldwide, Neuberger manages a range of equity, fixed income, private equity and hedge fund strategies on behalf of institutions, advisors and individual investors worldwide. With more than 700 investment professionals and more than 2,900 employees in total, Neuberger has built a diverse team of individuals united in their commitment to client outcomes and investment excellence. Our culture has afforded us enviable retention rates among our senior investment staff and has earned us citations in the top-ranked firms (among those with 1,000 or more employees) in the Pensions & Investments “Best Places to Work in Money Management” survey each year since 2013.

For more information, please visit our website at www.neuberger.com.

Position Overview:

We are seeking an experienced Compliance Officer to support marketing and distribution compliance across EMEA and LatAm. This role combines financial promotions review, regulatory advice and compliance oversight, partnering with Marketing, Sales, Product Management and Legal teams to support the compliant promotion and distribution of public and private market investment products. The successful candidate will contribute to compliance frameworks, regulatory change initiatives, training and management reporting.

Primary Responsibilities:

• Review and approve marketing communications for institutional, intermediary and retail audiences, for compliance with the applicable regulatory requirements and internal policies.
• Provide timely, pragmatic and risk-based advice to various stakeholders across sales, marketing and business development teams on cross-border marketing and distribution requirements across EMEA and LatAm jurisdictions.
• Support product launches and distribution initiatives.
• Review and approve RFPs and due diligence questionnaires.
• Develop and enhance compliance frameworks, policies and controls.
• Monitor marketing and distribution activities and identify emerging risks.
• Assist with the preparation of internal Consumer Duty MI reports for the Board and Committees.
• Deliver training on marketing regulations and distribution requirements across the business.
• Monitor regulatory developments impacting marketing and distribution activities and support the implementation of regulatory change initiatives.

Key Requirements / Qualifications:

• Bachelor’s degree, or equivalent, in Law, Business, Finance, Economics, or a related discipline.
• 5+ years' experience in financial promotions, marketing review and distribution compliance within the asset management, wealth management or investment management industry.
• Strong working knowledge of FCA financial promotions requirements, Consumer Duty rules, Consumer Composite Investments regime, and marketing requirements under MiFID II, UCITS, AIFMD and relevant ESMA guidelines.
• Knowledge of cross-border marketing and distribution regulations across EMEA and LatAm jurisdictions, including the practical application of local marketing restrictions and investor categorisation requirements.
• Strong understanding of retail, intermediary and institutional marketing and distribution requirements.
• Knowledge of UCITS and alternative investment fund structures, including LTAFs, ELTIFs and QIAIFs, as well as private markets products.
• Experience interacting with marketing, sales, product development and investment teams in a fast-paced environment.

Skills and Competencies:

• Ability to build effective relationships and influence stakeholders across Compliance, Legal, Marketing, Product Management and Sales teams.
• Self-motivated team player with the ability to work independently and use own initiative.
• Strong written and verbal communication skills.
• Commercially minded with sound judgement, able to balance regulatory requirements with business objectives.
• High standard of accuracy and attention to detail.
• Ability to prioritise competing demands and manage a high volume workload in a fast paced environment.

#LI-NM1

#LI-Hybrid

Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

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].

Learn about the Applicant Privacy Notice.