Neuberger is seeking an experienced attorney in the Investment Company Act of 1940 to join its New York-based Legal and Compliance Team. This position will be providing legal advice and support on Neuberger Berman's U.S. registered fund business, including mutual funds, exchange-traded funds and closed-end funds. The lawyer will also provide support to our intermediary distribution efforts. This position will report to the General Counsel - U.S. Registered Funds. This is an exceptional opportunity for a well-rounded investment management attorney who enjoys working on many different sophisticated matters, wants substantial business team and client contact and is a team player.
Responsibilities:
Providing ongoing advice with respect to structuring and maintaining registered investment vehicles, including the preparation and on-going review of registration statements
Advising a variety of internal business clients, including portfolio managers, marketing and sales personnel on a variety of legal and regulatory matters associated with current and proposed business and operational initiatives
Ensuring productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service
Preparing materials for boards of trustees/directors on a variety of routine and ad hoc legal and compliance matters
Drafting and negotiating various contracts, including: (i) investment management agreements; (ii) intermediary distribution and servicing agreements; (iii) non-disclosure agreements; and (iv) agreements with various service providers
Keeping abreast of new regulatory developments and acting as a liaison in implementation of rules and regulations
Reviewing marketing materials and other client communications, including client information requests and requests for proposals
Adjusting job responsibilities to accommodate changing priorities while managing multiple requirements and timelines
Requirements:
Bachelor's degree and JD required
Member of New York State Bar (or the ability to waive in)
At least 5 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or with an in-house legal department
Mutual Funds/ 1940 Act experience required
Experience working with boards of trustees/directors of U.S. registered products strongly preferred
Experience working on intermediary relationships for U.S. registered products a plus
Capable of working independently but with ability to recognize when to seek guidance in complex situations
Pro-active approach with the ability to engage with and communicate effectively with senior management
LI-MB1
LI-Hybrid
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 $200,000-$225,000. 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 onlineaccommodations@nb.com _.
Learn about the Applicant Privacy Notice (https://www.nb.com/en/global/disclosure-privacy-policy) ._
Founded in 1939, Neuberger is a private, independent, employee-owned investment manager. From offices in 40 cities worldwide, the firm manages $567 billion in client assets (as of March, 2026) across a range of strategies-including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds-on behalf of institutions, advisors and individual investors globally.
Tenured, stable and long-term in focus, the firm has built a diverse team-including 790-plus investment professionals and more than 2,900 employees in total-united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by Pensions & Investments as the first or second "Best Place to Work in Money Management" for last eight consecutive years (firms with 1,000+ employees).
Neuberger believes strongly that all employees are entitled to be treated with respect and dignity, and to work in a professional and safe environment. These values are the cornerstone of our firm. We prohibit any form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish to be employed by the firm are expected to uphold these principles.
For important disclosures: http://www.nb.com/linkedin
