Neuberger Berman

  • New York, NY, USA
Neuberger Berman New York, NY, USA
Sep 02, 2021
Responsibilities: Work regularly with the CCO-Alternatives and Alternatives Legal and Compliance team, as well as other divisional CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FINRA and related rules and regulations. Review marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs. Review, analyze and respond to regulatory inquiries, including relating to the SEC, FINRA and NFA/CFTC. Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules or firm policies as appropriate. Assist in the annual review and amendments to Form ADV and other applicable regulatory reporting requirements. Provide compliance guidance relating to new product development initiatives; including identifying potential compliance risks and...
Neuberger Berman New York, NY, USA
Sep 02, 2021
Responsibilities: Work regularly with the CCO-Alternatives and Alternatives Legal and Compliance team, as well as other divisional CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FINRA and related rules and regulations. Review marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs. Review, analyze and respond to regulatory inquiries, including relating to the SEC, FINRA and NFA/CFTC. Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules or firm policies as appropriate. Assist in the annual review and amendments to Form ADV and other applicable regulatory reporting requirements. Provide compliance guidance relating to new product development initiatives; including identifying potential compliance risks and...