Location
London

Hours
Full Time

Salary
Competitive, commensurate with experience

About the Role
Neuberger Berman, a private, independent, employee-owned investment manager, is seeking an experienced Compliance Officer to support marketing and distribution compliance across EMEA and LatAm. This role involves reviewing financial promotions, providing regulatory advice, and overseeing compliance activities in partnership with Marketing, Sales, Product Management, and Legal teams. The successful candidate will contribute to compliance frameworks, regulatory change initiatives, training, and management reporting. Responsibilities include reviewing and approving marketing communications for various audiences, supporting product launches and distribution initiatives, developing compliance policies and controls, monitoring marketing activities for emerging risks, preparing internal Consumer Duty reports, delivering training on marketing regulations, and monitoring regulatory developments to implement change initiatives.

Experience
Minimum 5 years' experience in financial promotions, marketing review, and distribution compliance within asset management, wealth management, or investment management industries. Strong knowledge of FCA financial promotions requirements, Consumer Duty rules, Consumer Composite Investments regime, and marketing regulations under MiFID II, UCITS, AIFMD, and relevant ESMA guidelines. Experience with cross-border marketing and distribution regulations across EMEA and LatAm, including local marketing restrictions and investor categorisation. Familiarity with retail, intermediary, and institutional marketing and distribution requirements. Knowledge of UCITS and alternative investment fund structures, including LTAFs, ELTIFs, QIAIFs, and private markets products. Proven ability to work effectively with marketing, sales, product development, and investment teams in a fast-paced environment.

About you
Ability to build effective relationships and influence stakeholders across Compliance, Legal, Marketing, Product Management, and Sales teams. Self-motivated team player with the ability to work independently and use own initiative. Strong written and verbal communication skills. Commercially minded with sound judgement, balancing regulatory requirements with business objectives. High attention to detail and accuracy. Ability to prioritise competing demands and manage a high workload in a fast-paced environment.

Qualifications
Bachelor’s degree or equivalent in Law, Business, Finance, Economics, or a related discipline.