This job has expired

Investment Guideline Compliance - ESG Specialist

Neuberger Berman
Closing date
25 May 2022

View more

Contract Type
Full Time
You need to sign in or create an account to save a job.
Primary Responsibilities:
  • Coordinate the implementation 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.
  • Partner 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.
  • Oversee the implementation of fund specific ESG policies in Neuberger Berman's order management system, and communicate applicable policies and changes and potential impacts of those changes to Portfolio Managers and other interested parties.
  • Enhance control processes such that portfolios can be actively monitored along with evolving client demands or ESG metrics.
  • Coordinate the ESG Challenge process, ensuring that challenges are well documented and reviewed in a timely manner.
  • Partner 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.
  • Establish and maintain policies and procedures relating to ESG-related exclusion management in applicable Neuberger Berman systems.
  • Perform reviews of any pre or post trade compliance alerts relating to ESG-related guidelines.
  • Interact and coordinate 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.
  • Partner with AMGO team members to administer daily pre and post trade compliance responsibilities in applicable order management systems (review and address alerts, communicate with Portfolio Managers, etc.) beyond ESG related items, as may be required.
  • Review, interpret and summarize investment guidelines for new mandates.
  • Ensure proper restriction coding in Firm's order management systems; test new and existing investment restrictions, and ensure timely implementation of applicable investment guideline updates.
  • Represent the team in cross-functional projects and committees, and provide input and direction in furtherance of the goals of the team.
  • Represent the AMGO team in client due diligence presentations, as may be required.
  • Maintain a high degree of visibility within the organization.

Preferred Experience:
  • 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
  • Strong communication skills (verbal/written); detail oriented
  • Self-motivated individual with the ability to thrive in a dynamic and fast-paced environment, proven ability to work successfully independently and as part of a global team
  • Undergraduate degree with excellent academic credentials and a minimum of 3-5 years of relevant work experience. CFA or MBA preferred;

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

Learn about the Applicant Privacy Notice.
  • Location: London
  • Type: Full time
You need to sign in or create an account to save a job.

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert