Compliance & Supervisory Analyst

Neuberger; New York (NY); Hybrid; USD 80,000 - 100,000; Full time

Benefits offered by this job

Discretionary bonus

Medical/dental/vision insurance

Retirement plan

Paid time off

Life insurance

Job summary

Neuberger in New York, NY is seeking a compliance-focused Senior Supervisor for the Central Supervision Group. The role oversees high-risk activities, prepares governance materials for senior management, and ensures audit readiness across portfolios and platforms.

You will monitor surveillance reports, maintain records, and provide guidance to Portfolio Managers, Wealth Advisors, and staff. A FINRA license set and a 3–5 year background in investment advisory are preferred, with a hybrid work

Qualifications

• Bachelor’s degree required.
• FINRA Series 7, 66, and 24 (or 9/10) licenses are required; qualified candidates may obtain the Series 24 or 9/10 within six months of hire
• Three to five years of experience in an investment advisory or broker-dealer environment, preferably involving supervisory principal activities.
• Ability to remain composed under pressure while managing competing priorities efficiently and effectively
• Intermediate proficiency in Microsoft Office, including Word, Excel, and PowerPoint

Responsibilities

• Prepare accurate and timely materials for Portfolio Manager and Wealth Advisor supervisory reviews and governance decks for Senior Management; document meeting discussions and ensure outstanding items are tracked through resolution
• Maintain the team’s shared collaboration sites, including Microsoft Teams and SharePoint
• Perform compliance-related activities, including due diligence and the review of surveillance and exception reports
• Use proprietary supervisory tools to monitor and evaluate daily, weekly, and monthly exception reports
• Provide clear procedural guidance to Portfolio Managers, Wealth Advisors, sales professionals, administrators, and internal business partners through email, telephone inquiries, and staff meetings
• Analyze large volumes of supervisory data to identify patterns, anomalies, and potential indicators of elevated risk, and conduct thorough follow-up with limited management direction
• Maintain complete and accurate records of supervisory reviews, alert dispositions, and exception resolutions to support audit readiness and regulatory examinations
• Review and approve cash and securities movements submitted through the Funds Disbursement System (FDS) in accordance with established supervisory procedures
• Support ad hoc projects and other team priorities as needed
• Cross-train in additional areas of supervision based on evolving business needs

Skills

Attention to detail

Time management

Analytical skills

Independent work

Education

Bachelor’s degree required

Tools

Microsoft Office

Job description

Neuberger in New York, NY is seeking a compliance-focused Senior Supervisor for the Central Supervision Group. The role oversees high-risk activities, prepares governance materials for senior management, and ensures audit readiness across portfolios and platforms.

You will monitor surveillance reports, maintain records, and provide guidance to Portfolio Managers, Wealth Advisors, and staff. A FINRA license set and a 3–5 year background in investment advisory are preferred, with a hybrid work