Summary: This position will have a dual focus on assisting in the administration of the firm’s gifts and entertainment and political contributions programs, as well as general surveillance responsibilities. In addition, the position will entail working on collaborative compliance projects within the overall global compliance effort of the Firm. The position will report to the Chief Compliance Officer - Central Compliance and also provide assistance to internal counsel. Responsibilities: Provide advice and guidance to firm personnel as it relates to federal, state and local political activities and pay-to-play rules and regulations. Review and approve employee requests for political contributions/volunteer activity within the firm’s internal compliance system. Review invitations and attendance lists for firm sponsored events to ensure compliance with applicable contribution and gift requirements. Work with Human Resources Department in on-boarding new employees as it relates to any political activities they are/were involved in. Complete certifications for various state/city retirement systems and make necessary filings in compliance with MSRB Rule G-37. Review and analyze reports generated by the firm’s surveillance systems. Communicate and address surveillance issues, as necessary. Provide support to the business units on compliance issues relating to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment. Conduct Email Surveillance; familiarity 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. Participate in new employee as well as year-end training. Participate in compliance testing as part of the firm’s overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130. Update, maintain, and draft the certain aspects of firm policies and procedures. Review and approve employee requests for items such as gifts/entertainment, political contributions, outside business activities, and private investments within the firm’s internal compliance system. Qualifications: A minimum of 4 years of investment advisory compliance experience or broker-dealer experience a plus. Must have bachelor’s degree, law degree preferred. An understanding of political contribution, pay to play, lobbyist, Taft Hartley/ERISA, and other similar rules/regulations impacting investment advisors and broker-dealers, preferred. Experience with equity and fixed-income securities products preferable, knowledge of futures, commodities, currencies, and derivatives on those types of investments a plus. Candidate must be able to work well in a team structure involving both business and support functions. Excellent interpersonal skills; ability to interact with all levels of staff including senior management. Must be detail oriented and hardworking. Neuberger Berman is an equal opportunity/affirmative action 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 onlineaccommodations@nb.com. Learn about the Applicant Privacy Notice.