Supervision Analyst

Job overview

The Supervision Analyst role is listed in New York, NY, and is onsite according to the listing. The salary range is $80,000–$100,000 per year. The Central Supervision Group protects Neuberger and its clients through oversight of higher-risk activities and supports supervisory policies across client coverage channels. The analyst reviews supervisory activity, analyzes exception data, documents findings, and follows issues through resolution. This work supports compliance, audit readiness, and regulatory examinations while helping the firm identify potential risks in client and account activity.

What you'll do

• Prepare materials for Portfolio Manager and Wealth Advisor supervisory reviews and governance decks
• document discussions and track open items
• maintain Microsoft Teams and SharePoint collaboration sites
• conduct due diligence and review surveillance and exception reports
• use supervisory tools to evaluate reports
• provide procedural guidance to internal partners
• analyze supervisory data for patterns and risk indicators
• maintain review and resolution records
• review and approve cash and securities movements through the Funds Disbursement System according to procedures
• support projects and cross-train in other supervision areas.

What we're looking for

Skills & competencies

supervision analyst

central supervision group

new york ny

neuberger

$80,000–$100,000

compliance

risk review

finra series 7

finra series 66

series 24 or 9/10

audit readiness

investment advisory

Work arrangement

• Weekend coverage required

Benefits & perks

• Paid time off, medical, dental and vision insurance, retirement, life insurance, and other benefits for eligible employees
• discretionary bonus.

Why this role

$80,000–$100,000 salary range; bachelor’s degree and FINRA Series 7 and 66 licenses required; Series 24 or 9/10 required or may be obtained within six months of hire.

About the employer

Neuberger is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.