Role Overview:
We are seeking an Investment Guideline Compliance ESG Specialist to join the Asset Management Guideline Oversight (“AMGO”) group within the global Risk team. As an independent control group, AMGO is responsible for ensuring that investment portfolios remain compliant with regulatory, prospectus, client, and internal guidelines.
As the preferred candidate you will partner with the Neuberger Berman ESG Investing Team and Neuberger Berman Portfolio Managers to ensure that applicable firm, regulatory, and client mandated ESG guidelines are implemented effectively across investment portfolios. This will require that the candidate have a passion for ESG principles and a focus on the evolving industry standards and regulatory requirements, in addition to an understanding of how to apply these ESG principles across investment portfolios. The role requires a technical understanding of investment products and the functionality of order management system compliance modules (such as Aladdin or Charles River).
You will utilise your experience and expertise to provide ongoing guidance to investment personnel as it relates to determining whether investments are permissible in investment portfolios. Working within a team environment, using your sound judgment to determine whether issues require further escalation. Demonstrate leadership qualities and the ability to work with considerable independence. As an experienced hire, it is expected you will be able to hit the ground running and make an immediate impact.
Primary Responsibilities:
- Coordinating the implementation and oversight of ESG exclusions across Neuberger Berman’s investment platform, including those relating to the Firm’s Sustainable, Impact, and ESG integrated investment strategies, as well as those associated with “Article 8” and “Article 9” of the SFDR regulation, the Total Quality Standard, Net Zero initiative, Dutch Pension Agreement on Responsible Investing, among the various other standards and ESG requirements.
- Partnering with the ESG Investing Team, Client Platform, Legal & Compliance and Onboarding teams to help define and implement client ESG policies and exclusions to ensure that portfolios are managed in accordance with client intentions or applicable guidelines.
- Coordinating the ESG Challenge process, ensuring that challenges are well documented and reviewed in a timely manner.
- Partnering with external research providers and Neuberger Berman infrastructure teams to ensure that ESG data feeds are accurate and in line with expectations as it relates to ESG exclusions.
- Establishing and maintaining policies and procedures relating to ESG-related exclusion management in applicable Neuberger Berman systems.
- Interacting and coordinating with the ESG Investing Team, Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment guideline compliance issues.
Preferred Experience:
- Undergraduate degree with excellent academic credentials and a minimum of 3-5 years of relevant work experience. CFA or MBA preferred.
- A passion for implementing controls relating to ESG investing and ESG principles, and a desire to follow the evolving regulatory and industry requirements relating to ESG investing
- A working understanding of Article 8” and “Article 9” of the SFDR regulation, the Total Quality Standard, Net Zero initiative, Dutch Pension Agreement on Responsible Investing, among the various other standards and ESG requirements
- Experience utilizing Aladdin and/or Charles River for investment compliance highly preferred
- Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing
- Fund Compliance, front office trading, Operations or Audit experience also highly desirable
- Familiarity with UCITS and 1940 Act regulations preferred
Who you are?
- Excellent time-management, planning and organizational skills
- High level of accuracy and attention to detail
- Strong written and verbal communication skills
- Analytical and process-oriented
- Self-starter with proven initiative and ability to work independently and as part of a global team, performing multiple job functions without compromising quality of output.
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.
