Supervision Analyst

About the role

The Central Supervision Group (CSG) protects the firm and its clients by reviewing higher-risk activities such as fund disbursements, fraud prevention, account opening and maintenance, alternative investment suitability and regulatory compliance. It supports the development, implementation and enforcement of supervisory policies across Neuberger's Private Wealth, North American Institutional and North American Intermediary channels. The Supervision Analyst joins this collaborative, high-impact team.

Key responsibilities

• Prepare accurate, timely materials for Portfolio Manager and Wealth Advisor supervisory reviews and governance decks for Senior Management, and document meeting discussions so outstanding items are tracked to resolution
• Maintain the team's shared collaboration sites, including Microsoft Teams and SharePoint
• Perform compliance activities, including due diligence and review of surveillance and exception reports
• Use proprietary supervisory tools to monitor and evaluate daily, weekly and monthly exception reports
• Guide Portfolio Managers, Wealth Advisors, sales professionals, administrators and internal partners on procedures via email, calls and staff meetings
• Analyze supervisory data to spot patterns, anomalies and signs of elevated risk, following up thoroughly with limited management direction
• Keep complete records of supervisory reviews, alert dispositions and exception resolutions to support audits and regulatory examinations
• Review and approve cash and securities movements submitted through the Funds Disbursement System (FDS)
• Support ad hoc projects, cross-train in other supervision areas and stay composed under pressure

Required profile

• Bachelor's degree required
• FINRA Series 7, 66 and 24 (or 9/10) licenses; Series 24 or 9/10 can be obtained within six months of hire
• 3 to 5 years of experience in an investment advisory or broker-dealer environment, preferably with supervisory principal activities
• Ability to work independently and as part of a team, with strong attention to detail, sound judgment and time management
• Right to work in the United States without current or future sponsorship

Required skills

• Intermediate proficiency in Microsoft Office (Word, Excel, PowerPoint)
• Ability to manage multiple assignments in a fast-paced environment

What we offer

• Salary range of $80,000-$100,000, with eligibility for a discretionary bonus
• Paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits
• LI-MB1 hybrid arrangement