Job description
Summary:
The staff attorney will play an integral role within Neuberger Berman’s Legal & Compliance Department, specifically with respect to the Private Wealth business and marketing review. The ideal candidate will possess excellent organizational skills and strong written and oral communication skills, and be able to interface with various colleagues and business groups across the firm. This job will require strong writing and reading skills and the ability to think critically, issue spot, and efficiently handle various projects at once. This is a good position for someone who has recently graduated from law school or has one or two years of law firm experience.
Responsibilities:
- Provide legal support to the Private Wealth business including: advising on the legal and regulatory framework for the Private Wealth business; liaising with wealth advisors, portfolio managers and operations on all aspects of the client relationship; and assisting with legal issues around client account opening and maintenance.
- Provide legal research and advice regarding regulatory matters appropriate for a wealth management and asset management business, including applicable securities laws.
- Prepare, review and negotiate a variety of commercial contracts including investment management agreements, referral agreements, and sub-advisory agreements.
- Work closely with other members of the Legal & Compliance department and with the marketing department to review and approve marketing materials and other client communications to ensure that they comply with regulatory requirements and internal compliance policies; assist in the review and maintenance of standard materials (firm materials, pitch books, factsheets, team pages, and biographies).
- Effectively and diplomatically manage competing priorities and provide guidance with respect to the regulatory requirements and our fiduciary responsibility to clients to the marketing department, the portfolio management teams, the sales teams and other firm personnel.
- Develop, implement, update and maintain monitoring processes to ensure ongoing compliance of the marketing materials and anticipate, manage, and reduce risk to the business as they relate to client communications.
Qualifications:
- 1-2 years of experience at a law firm or in-house at an asset management firm
- Strong writing and analytical skills
- Proficiency in Microsoft Office software (e.g. Word, Excel, PowerPoint, and Outlook)
- Efficient and resourceful, able to work independently, handling multiple and changing priorities, and meet deadlines
- Excellent organizational skills; detail oriented
- Strong time management skills; ability to prioritize multiple tasks efficiently
- Resourceful and able to handle multiple and changing priorities
- Ability to communicate effectively with senior management
Compensation Details
The salary range for this role is $90,000-$140,000. 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 employee’s 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 Company’s 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
onlineaccommodations@nb.com
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