CLO Compliance Specialist

Summary:

The Structured Products Group within Neuberger’s Middle Office provides critical analytical, operational, and compliance support to the Non‑Investment Grade Credit Investment team, with a primary focus on CLO portfolios. This role sits at the intersection of portfolio analytics, deal compliance, and process improvement, requiring strong technical expertise, sound judgment, and the ability to operate effectively in a fast‑paced, deadline‑driven environment.

The ideal candidate is detail‑oriented, analytically strong, and comfortable engaging with internal stakeholders including portfolio management, legal, compliance, risk, and operations teams, as well as trustees, auditors, and external service providers. The role offers meaningful exposure to CLO structures, documentation, and lifecycle events, as well as opportunities to contribute to automation and risk‑mitigation initiatives.

Responsibilities:

• Daily responsibilities include interactions with deal trustees, asset ratings monitoring as well as status report maintenance.
• Resolve loan and reporting discrepancies with trustees and auditors in a timely manner. 
• Interpret legal documents, including indentures, to determine deal compliance.
• Maintain and enrich deal models.
• Prepare metrics and reporting for management review.
• Run hypothetical trading scenarios and report findings to management.
• Actively participate in system automation, efficiency enrichment and risk mitigation projects. 

• Implementation of controls around processing activity to mitigate risks from manual processing.
• Assist management for internal and external audits and due diligence related initiatives.
• Assist in the Daily cash management for CLOs and Hybrid accounts
• Assist in new account set up as well as KYC

Requirements:

• Bachelor’s Degree in Finance, Accounting or other business related field preferred
• 6-8 years of CLO industry experience required
• Knowledge and understanding of fixed income products with specific knowledge in bank loans
• Strong organizational, communication, and problem solving skills
• Ability to implement tasks and projects with minimal supervision.
• Professionalism and integrity with the ability to be flexible in a fast-paced environment.
• Must be detail oriented, risk savvy and possess the ability to work independently in a team setting
• Proficiency in MS Office applications with advanced knowledge of Excel required
• Experience with Blackrock’s Aladdin preferred

Neuberger is unable to offer visa sponsorship for this position. Applicants must be authorized to work in the United States without the need for current or future sponsorship.

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Compensation Details

The salary range for this role is $130,000-$170,000. 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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