Senior Supervision & Compliance Analyst

LGBT Great Careers; New York (NY); Hybrid; USD 80,000 - 100,000; Full time

Benefits offered by this job

Paid time off

Medical/dental/vision insurance

Retirement plan

Life insurance

Discretionary bonus

Job summary

Neuberger Berman is seeking a qualified candidate to join the Central Supervision Group (CSG) to oversee high-risk activities, ensure regulatory compliance, and support governance across Private Wealth and North American channels. The role focuses on supervision, data analysis, and collaboration with Portfolio Managers and Wealth Advisors.

The position requires a Bachelor’s degree and FINRA licenses, plus 3–5 years in an investment advisory or broker-dealer setting.

Qualifications

• Bachelor’s degree required.
• 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 effectively.
• Strong attention to detail, sound judgment, and effective time-management skills.
• Demonstrated ability to organize and manage multiple assignments in a fast-paced environment.
• Ability to work independently while contributing effectively as part of a team.
• MS Office proficiency: Word, Excel, PowerPoint.

Responsibilities

• Prepare materials for supervisory reviews and governance decks for senior management; document meetings and track outstanding items.
• Maintain the team’s collaboration sites (Microsoft Teams, SharePoint).
• Perform compliance-related activities including due diligence and review of surveillance reports.
• Use proprietary tools to monitor daily/weekly/monthly exception reports.
• Provide guidance to portfolio managers, wealth advisors, sales professionals, administrators, and internal partners via email/phone/staff meetings.
• Analyze large volumes of supervisory data to identify patterns and follow up with limited direction.
• Maintain records of reviews, dispositions, and exception resolutions for audits.
• Review and approve cash and securities movements in the Funds Disbursement System (FDS).
• Support ad hoc projects and cross-train in other supervision areas.
• Cross-train in additional areas of supervision as needed.

Skills

Calm under pressure

Attention to detail

Time management

Organizational skills

Independent worker, team player

MS Office proficiency

Education

Bachelor’s degree required

FINRA Series 7, 66, 24 (or 9/10) licenses required

Tools

Microsoft Teams

SharePoint

Word

Excel

PowerPoint

Job description

Neuberger Berman is seeking a qualified candidate to join the Central Supervision Group (CSG) to oversee high-risk activities, ensure regulatory compliance, and support governance across Private Wealth and North American channels. The role focuses on supervision, data analysis, and collaboration with Portfolio Managers and Wealth Advisors.

The position requires a Bachelor’s degree and FINRA licenses, plus 3–5 years in an investment advisory or broker-dealer setting.