Head of the Portfolio Guideline Compliance Group (AMGO)

Neuberger Berman is an independent, employee-owned, global asset management firm, serving the financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and commodities, in addition to portfolio advice and wealth planning services. We offer a broad platform to accommodate the evolving needs of our clients.

The Asset Management Guideline Oversight (AMGO) group serves a critical function within the global Risk group. As an independent control group, AMGO is responsible for ensuring that investment portfolios remain compliant with regulatory, prospectus, client and internal guidelines. The role requires a technical understanding of investment products across all asset classes, and the functionality of order management system compliance modules (such as Aladdin, Charles River, Investor Tools, and Eze Castle).

The Head of AMGO will utilize their experience and expertise to provide ongoing guidance to investment personnel and team members as it relates to determining whether investments are permissible in investment portfolios. The Head of AMGO will provide oversight across all asset classes, including Equities, Fixed Income, and Alternatives, and will be situated in the New York Headquarters.

The candidate will demonstrate leadership qualities and the ability to work with considerable independence, managing a global team across locations in the US, Europe and APAC. As an experienced hire, it is expected that the candidate will be able to hit the ground running, and make an immediate impact.

Responsibilities:

• Oversee all functional elements of the AMGO team, including staffing, hiring, coaching and performance reviews, and compensation

• Manage the strategic direction of the team, developing, tracking and reporting key metrics, and planning to support growth and evolving business needs

• Interact and coordinate with senior leadership across broad functional areas, including Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment guideline compliance issues

• Oversee all asset classes, including Equities, Fixed Income and Alternatives, and build out processes and controls in growth areas

• Serve as a point of escalation for Portfolio Managers and leadership of other functional areas, as well as AMGO group members, as needed

• Provide guidance to AMGO team members as it relates to task management and daily pre and post trade compliance responsibilities in applicable order management systems (onboarding pipeline, reviewing and addressing alerts, communicating with Portfolio Managers, project management, etc.)

• Maintain all applicable policies and procedures associated with the AMGO group

• Represent the team in cross-functional projects and committees, and provide input and direction in furtherance of the goals of the team

• Represent the AMGO group in client operational due diligence presentations, regulatory visits, and forums with executive management, as may be required

• Build and establish strong relationships with internal clients; maintain a high degree of visibility within the organization

Requirements:

• Extremely goal-oriented and a true team player; the highest integrity as it relates to corporate standards and compliance

• 10 years of experience in investment guideline compliance in an Asset Management firm, with at least 5 years of experience managing a team

• Experience utilizing Aladdin for guideline compliance is critical

• Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing

• Thorough understanding of UCITS and 1940 Act regulations, and their application to investment portfolios; familiarity with other global standards preferred

• Familiarity with ESG related guidelines and managing pre and post trade controls associated with ESG

• University degree; advanced degree and industry designations such as MBA, CFA, FRM preferred

• Fund Compliance, front office trading, Operations or Audit experience also highly desirable

• Executive level communicator with the ability to communicate effectively across all functions and seniority levels; experience delivering presentations to executive management

• Self-motivated individual with the ability to thrive in a dynamic and fast-paced environment, proven ability to work successfully independently and as part of a global team

• A change agent, with success managing and delivering complex projects and process improvement initiatives

Compensation Details

The salary range for this role is $200,000-$250,000. 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 New York City. An employees 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, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. 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 Companys sole discretion, consistent with the law.

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 [email protected].

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