Senior Investment Supervision Analyst

Neuberger Berman; 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

Job summary

The Central Supervision Group at Neuberger Berman oversees risk and supervises high‑risk activities across Private Wealth and North American client coverage. The role prepares governance materials, documents discussions, and maintains records for audits, while guiding portfolio managers, wealth advisors, and staff in compliance processes.

We seek candidates with 3–5 years in investment advisory environments, holding FINRA licenses or pursuing them, and strong MS Office proficiency.

Qualifications

• Bachelor’s degree required; FINRA Series 7, 66, and 24 (or 9/10) licenses required.
• Candidates may obtain Series 24 or 9/10 within six months of hire.
• 3–5 years of experience in an investment advisory or broker-dealer environment, preferably supervisory principal activities.
• Ability to stay composed under pressure and manage multiple priorities.

Responsibilities

• Prepare accurate materials for supervisor reviews and governance decks for Senior Management.
• Document meeting discussions and track outstanding items through resolution.
• Maintain the team’s collaboration sites (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 reports.
• Provide procedural guidance to Portfolio Managers, Wealth Advisors, and staff through various channels.
• Analyze large supervisory data volumes to identify patterns and follow up with limited direction.
• Maintain records of supervisory reviews, dispositions, and resolutions for audits.
• Review and approve cash and securities movements submitted through the Funds Disbursement System (FDS).
• Support ad hoc projects and cross-train in evolving supervision areas.

Skills

Under pressure

Attention to detail

Time management

Independent work

Team collaboration

Education

Bachelor’s degree

Tools

Microsoft Office

Microsoft Teams

SharePoint

Job description

The Central Supervision Group at Neuberger Berman oversees risk and supervises high‑risk activities across Private Wealth and North American client coverage. The role prepares governance materials, documents discussions, and maintains records for audits, while guiding portfolio managers, wealth advisors, and staff in compliance processes.

We seek candidates with 3–5 years in investment advisory environments, holding FINRA licenses or pursuing them, and strong MS Office proficiency.