Supervision Analyst
BTGPactual International•Miami, FL
•$90,000 - $110,000
About The Position
The Supervision Analyst will support the Supervision team in daily oversight activities, data analysis, and process improvement initiatives. This is a hands-on role focused on executing supervisory routines, enhancing data-driven monitoring, and contributing to efficiency and automation projects. This position plays a key role in maintaining a strong control environment while helping scale supervisory processes through improved reporting, workflow optimization, and technology enablement.
Requirements
- Bachelor’s degree in Finance, Business, Economics, Data Analytics, or related field
- 1–3 years of relevant experience (financial services, supervision, compliance, operations, or analytics)
- Strong data analytics skills (advanced Excel required; or other analytical tools a plus)
- High attention to detail and strong organizational skills
- Ability to manage multiple priorities across daily tasks and projects
- Strong communication and collaboration skills
- Basic knowledge of broker-dealer operations and U.S. regulatory framework (FINRA/SEC)
- Experience with trading, supervision, or control environments
- Portuguese and/or Spanish
Nice To Haves
- FINRA licenses (Series 99, 7 or 63) preferred. Candidates that do have the licenses, must obtain within 6 months of hire.
Responsibilities
- Assist with daily supervisory reviews (trades, blotters, alerts, and sales practices)
- Support account activity monitoring to identify exceptions, trends, and risks
- Execute assigned supervisory routines accurately and on time
- Assist with error tracking and documentation
- Assist in analyzing supervisory data to identify patterns, anomalies, and control gaps
- Prepare and enhance reports and dashboards for management
- Partner with IT teams to improve data quality and reporting processes
- Support automation and efficiency initiatives within the Supervision function
- Contribute to workflow optimization and process standardization
- Maintain and update desktop procedures and control documentation
- Assist in scaling supervisory processes through technology and data solutions
- Collaborate with Compliance, Legal, Operations, Risk, and IT teams
- Support audits, exams, and remediation efforts
- Assist with ongoing reviews and new product processes as needed
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
