Neuberger Berman is a global firm that delivers comprehensive investment management products and services to a broad base of clients.  This includes UCITS funds, Mutual Funds, Private Funds, separately managed institutional accounts and wealth management services.  Investment management strategies and products cover a spectrum of traditional and alternative asset classes and risk/return profiles.

Responsibilities:

• Perform Investment Management audits covering investment management (equity, fixed income, hedge fund and private equity), sales distribution and supervision, UCITS governance, Compliance, operational, risk and performance audits

• Work closely with Data Analysts to create and utilize automated testing, automated risk assessments and monitoring dashboards

• Draft audit announcement memo, narratives, flow charts, risk assessments, control matrices and audit procedures

• Document and assess internal controls, identify strengths and weaknesses of financial and operational controls, and recommend business efficiency opportunities

• Evaluate the integrity of operational data and compliance with established policies and procedures through the audit process

• Coordinate with IT Audit to conduct integrated audits

• Prepare and present audit reports with findings and recommendations to management

• Follow up with management to ensure Management Action Plans have been implemented

• Participate in special projects

Qualifications:

• B.S. or B.A. in Finance, Accounting, or Business

• CPA, CFA preferred

• 8 to 10 years external and/or internal audit experience, asset management or financial services related preferred

• Strong data analytical skills

• Candidates with Computer-Assisted Audit Techniques (CAATs) skills and experience with data visualization tools, e.g., Tableau, etc. will have advantages

• Knowledge of ACL, MS-SQL, Python, Excel Pivot Tables, etc. preferred

• Ability to multi-task amongst several projects through use of strong project management skills

• Demonstrated ability to interact with management personnel

• Strong analytical skills

• Team player, flexible

• High degree of initiative

• Proficiency at highlighting and documenting key issues and concerns

• Excellent oral and written communication skills

• Audit Workpaper and Flowcharting tools (TeamMate, Visio)

• Knowledge of investment management processes, operational risks, best practice standards, rules and regulations preferred

Compensation Details

The salary range for this role is $110,000-$145,000. 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 [email protected].

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