The posting
Neuberger is an independent, employee-owned, global asset management firm, serving the financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and commodities, in addition to portfolio advice and wealth planning services. We offer a broad platform to accommodate the evolving needs of our clients.
Position Overview
Neuberger's Legal & Compliance team is seeking an experienced Derivatives Assistant to join the Legal & Compliance team. The role involves administrative and operational support, management, and execution of counterparty trading documentation, assistance with broader legal operations initiatives, and contributions to document management and trade reporting. The Derivatives Assistant will also provide support and coordination for the derivatives documentation process. Key document types include, but are not limited to, prime brokerage agreements, ISDAs, listed futures and options agreements, securities lending and repurchase agreements, and over-the-counter and exchange-traded derivatives documentation.
Primary Responsibilities:
- Oversee and coordinate the initial setup and maintenance of documents associated with over-the-counter and exchange-traded derivatives
- Coordinate with trading counterparties to navigate clients/funds through the credit review process, including responding to documentation and information requests from counterparties
- Maintain and update legal entity information in online databases including GMEI Utility, ISDA Amend
- Manage questionnaires in the Markit/ISDA Amend Document Exchange portal
- Track status of negotiations with banks and brokers
- Prepare and deliver responses to KYC/AML requests; oversee outside KYC/AML service providers
- Maintain complete and accurate files of derivative agreements, including entry/review of credit and collateral terms in the firm's documentation management system
- Work closely with stakeholders within business unit teams, operations, risk, and tax
- Escalate risks and issues to appropriate management to ensure onboarding is completed correctly and efficiently pursuant internal procedures
Qualifications:
- Bachelor's degree required
- Minimum 2+ years of experience in a role involving familiarity with trading and/or derivatives documentation
- Prior experience as a corporate/transactional Derivatives Assistant at a law firm is a plus
- Foundational knowledge of legal entity types, structures, and signature blocks
- Working knowledge of KYC/AML processes
- Proficiency with Microsoft Word (track changes, compare tools, redlining/comparison software), Excel, PowerPoint, and Outlook
- Meticulous attention to detail and commitment to accuracy
- Strong organizational, analytical and critical thinking skills with the ability to synthesize information from multiple sources into clear reports and recommendations
- Ability to work under tight deadlines in a fast-paced environment
- Self-starter with strong interpersonal communication skills and a good sense of urgency
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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 $100,000-$115,000. 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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