The Role

Head of Compliance of the EMEA and LatAm region, including being the Senior Manager Function for Compliance (SMF 16) and Money Laundering Reporting Officer (SMF17) for Neuberger Berman Europe Limited. The role includes management and oversight of a large team of compliance professionals within the region, and coordination with the Head of Compliance of the firm, and other senior legal and compliance personnel across the globe.

Primary Responsibilities

Primary responsibilities include:

• Oversee and implement EMEA and LatAm Compliance framework, including relevant policies and procedures, covering multiple entities and regulators, including the FCA, CBI and CSSF.
• Assist and manage the implementation of global policies, procedures and standards, in coordination with the firm’s Head of Compliance and other regional compliance heads.
• Monitor and assess regulatory developments, ensuring that the firm remains up-to-date and compliant with all relevant laws and guidelines.
• Foster a proactive compliance environment and constructively engage with staff and senior management on rules, regulations and best practices.
• Ensuring efficient implementation of technology to enhance compliance function.
• Design and deliver effective compliance training programs to educate employees on their responsibilities and obligations under applicable regulations.
• Take certain FCA prescribed responsibilities as determined by the Board of NBEL from time to time.
• Manage and mentor a large staff, across multiple offices.
• Establish and maintain strong relationships with regulatory authorities, acting as the primary point of contact for all compliance-related inquiries and inspections.
• Stay informed about emerging trends and best practices in compliance and regulatory affairs, continuously seeking opportunities to enhance the company's compliance program.

Qualifications needed

• Qualified to degree level.

• Professional qualification (e.g., law or accountancy degree) preferred.
• At least 15 years compliance experience in financial services preferably within the asset manager sector.
• Experience in cross border compliance.

Technical Skills

• Excellent knowledge of FCA rules and those of the CBI and CSSF.
• Experience implementing regulatory rules and expectations across the region.
• Strong analytical skills.
• Experience with use of technology in compliance function.
• Ability to prioritize workloads.
• Ability to provide pragmatic regulatory advice and solution to the business.
• Ability to identify material issues, knowing when to escalate them and implementing and designing solutions as applicable.

Interpersonal Skills

• Proven leadership abilities, with experience managing a team of compliance professionals and driving a culture of compliance throughout the organization.
• Sound judgment and decision-making skills, with the ability to navigate ambiguity and resolve complex compliance issues effectively.
• High level of integrity and professionalism, with a commitment to upholding ethical standards and fostering a culture of compliance and accountability.
• Strong communication skills both oral and written.
• Confident, highly motivated and organised, team player, able to operate under own initiative.
• Give management clear and concise advice.

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.

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