Senior Compliance Analyst - AML Compliance

Neuberger is seeking an anti-money laundering (AML) analyst for its legal and compliance department to conduct enhanced due diligence on high-risk customers, review alerts from screening systems, prepare Suspicious Activity Reports, and manage client risk profiles. The role involves responding to AML inquiries, serving as a subject matter expert, collaborating across departments, conducting adverse employee media screening, optimizing screening systems, drafting AML procedures, supporting audits and training, and managing sanctions and OFAC reporting.  This role will partner cross-functionally with operations, legal and front office teams to ensure consistent application of AML policies and seamless execution of compliance workflows.

Key Responsibilities:

• Conduct enhanced due diligence (EDD) investigations on high-risk customers, transactions, and counterparties

• Review and analyze alerts generated by the firm's screening systems, including WorldCheck, Clear, and LexisNexis

• Prepare Suspicious Activity Reports (SARs)

• Conduct searches across applicable customer, account, and transaction records for FinCEN 314a lists

• Review and approve subscription documents for private funds investors

• Maintain accurate and complete client risk profiles in the firm's CRM/KYC system

• Field and respond to AML-related inquiries from internal stakeholders, business units, and external parties

• Serve as a subject matter expert and trusted resource for AML team, providing guidance on complex cases, risk escalations, and regulatory interpretation

• Conduct weekly adverse media screening of incoming hires by maintaining and refreshing the firm's employee screening list, escalating any identified negative news findings for further review

• Collaborate with the IT team to assess and refine screening system configurations, optimizing rule sets and alert thresholds to reduce false positives and strengthen the firm's overall detection capabilities

Qualifications: 

• 5 plus years’ experience 

• Bachelor’s degree required 

• Knowledge of and experience applying U.S customer due diligence rules, including Bank Secrecy Act

• ACAMS certification preferred

• Ability to work with business and operations teams to ensure requirements are fully understood and met

• Detail-oriented, organized and ability to manage high paced environment 

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Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation Details

The salary range for this role is $115,000-$135,000. 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 the job posting location. 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, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, 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 is an equal opportunity 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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