Neuberger Berman is looking for a Registration Specialist to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees with licensing and registration matters, including working with various regulators, managing applications, updating licenses, overseeing terminations, state registrations, and related regulatory reporting.

Key Responsibilities:

Review and complete pre-hire Workday requests for potential new hires

Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute new hire documents (compliance manual, brokerage account disclosure policy, code of ethics affirmation), review background checks and advise on necessary exams

Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s, Form BR/BD, and NFA Form 8R/8T filings and any other required amendments

Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements

Manage FINRA Gateway queues, reports, and information requests

Provide reporting to business management, supervision and compliance teams to ensure regulatory requirements are met

Research and respond to regulatory inquiries related to disciplinary histories, terminations for cause, etc.

Coordinate study materials, and regulatory exam preparation for employees
Monitor and review email communications as part of compliance controls

Review and update registration policies and procedures annually and/or as required

Qualifications:

Bachelor’s degree in a related business field

3-5 years’ experience in registration, licensing, or compliance within a broker-dealer or investment adviser

Proactive, self-motivated, and highly organized

Strong interpersonal, oral, and written communication skills

Understanding of FINRA, SEC, and state registration/licensing requirements

Excellent computer skills (Excel, Microsoft Office Suite, Workday)

Skilled at managing multiple deadlines and prioritizing tasks

Proficient in regulatory platforms (FINRA Gateway CRD/IARD, NFA ORS)

Demonstrated ability to adapt to regulatory changes and update policies accordingly

Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers

Experience supporting audits and regulatory examinations related to registration and licensing

LI-HYBRID

LI-MB1

Compensation Details

The salary range for this role is $95,000-$125,000. 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, 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 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.

Learn about the Applicant Privacy Notice.