Supervision Analyst

Neuberger Berman•New York, NY

2d•$80,000 - $100,000•Hybrid

About The Position

The Central Supervision Group (CSG) is a specialized oversight function dedicated to protecting the firm and its clients through rigorous review of higher-risk activities, including fund disbursements, fraud prevention, account opening and maintenance, alternative investment suitability, and regulatory compliance. CSG supports the development, implementation, and enforcement of supervisory policies and procedures across Neuberger’s Private Wealth, North American Institutional, and North American Intermediary client coverage channels. We are seeking a qualified candidate to join this collaborative, high-impact team.

Requirements

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
Highly motivated, with 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
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