Position Overview:
Neuberger Berman has set up an AIFM in Luxembourg to service its diversified range of private equity funds and segregated mandates. It expands its activities towards other types of alternative funds including private debt, specialty finance and infrastructure.
To support this growth, the AIFM is seeking a Senior Compliance & AML Officer with strong technical expertise, regulatory depth, and the maturity to independently manage core compliance and AML/CTF responsibilities.
This senior role requires a professional capable of leading AML/CTF oversight, performing complex compliance reviews, interpreting regulatory developments, mentoring junior staff, and delivering consistently high‑quality, detail‑oriented work.
The Senior Compliance & AML Officer will report to the Conducting Officer responsible for Compliance. You will also be required to work in a proactive and collaborative way with the Neuberger Berman compliance teams in other jurisdictions, mostly within the UK and US.
Primary Responsibilities:
Compliance
- Perform the regulatory watch and advise the business in the implementation of new rules;
- Perform regulatory monitoring, assess new regulatory developments, and advise on practical implementation (e.g., AIFMD, CSSF Circular 18/698, AML Law and Regulations, ESG/SFDR, Data Privacy, PRIIPs/KIDs, Outsourcing, DORA)
- Independently lead and execute the AIFM’s Compliance Monitoring Plan, including robust testing, documentation, analysis of findings, and high‑quality reporting
- Identify material process gaps and recommend remediation measures supported by detailed regulatory interpretation
- Conduct thematic reviews across AIFM and fund‑level regulatory requirements, ensuring testing coverage and depth
- Oversee external delegates and third‑party service providers, ensuring sufficient oversight, escalation, and service quality
- Prepare accurate, insightful KPIs and reporting for senior management and the Board.
AML / KYC
- Lead the design, enhancement, and implementation of AML/CTF frameworks aligned with Luxembourg legal and regulatory requirements.
- Conduct and oversee complex due diligence assessments on investors, funds, distributors, and asset portfolios using strong critical judgement and a risk‑based approach.
- Manage and supervise initial and periodic AML reviews, including escalation of higher‑risk issues and resolution of complex cases.
- Improve documentation quality, strengthen risk methodologies, and ensure consistent application across all AML processes.
- Collaborate with international compliance and AML teams to harmonise approaches and support global initiatives.
- Develop and deliver both introductory and advanced AML/KYC training to internal stakeholders.
Key Requirements / Qualifications: (essential unless otherwise stated)
Experience
- 5–8 years of experience in compliance and AML/CTF within asset management, private equity, private banking, or a Big Four environment.
- Proven ability to work autonomously, manage critical compliance processes, and support or mentor junior team members.
- Demonstrated experience managing high‑volume workloads while maintaining strict quality and accuracy standards.
Technical & Regulatory Expertise
- Strong, demonstrable command of key Luxembourg regulations including:
- AML/CTF Law and relevant CSSF Regulations
- AIFMD and Delegated Regulations
- CSSF Circular 18/698
- ESG/SFDR
- PRIIPs/KIDs
- Outsourcing, cloud, operational resilience & DORA
- Data protection requirements
- Ability to interpret and apply primary regulatory texts directly, and to explain regulatory requirements clearly and precisely.
- Strong compliance testing skills, including control design, detailed testing execution, documentation, and reporting.
Skills & Attributes
- Exceptional analytical and critical‑thinking skills, with the ability to identify issues, challenge information, and propose effective solutions.
- Excellent writing skills with the ability to produce clear, concise, and flawless management‑level reporting.
- Strong organisational and project‑management abilities; able to prioritise effectively and deliver high‑quality outputs under pressure.
- Professional maturity, sound judgement, resilience, and the ability to adapt communication styles to different audiences.
- Strong interpersonal and collaboration skills, including experience working across jurisdictions and cultures.
- Fluency in English; French is an advantage.
- Advanced proficiency in Microsoft Office.
Education & Certifications
- Master degree required.
- CAMS or an equivalent AML qualification strongly preferred.
- Additional compliance or regulatory certifications are an asset.
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.
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