Supervision Officer

Neuberger Berman•New York, NY

1d•$90,000 - $110,000•Onsite

About The Position

The Central Supervision team (CSG) assists in the development, implementation and enforcement of supervisory policies and procedures across Neuberger’s Private Wealth (PW), North American Institutional and North American Intermediary client coverage channels. CSG seeks a qualified candidate to join our high-impact team.

Requirements

Bachelor’s Degree required
Series 7, 66 required
Series 24 (or 9/10) licenses required
5-7 years of investment advisory or broker-dealer experience, ideally with background in supervisory principal activities
Demonstrated ability to use sound judgment and critical thinking skills to investigate, evaluate and resolve complex issues
Strong collaboration, influence, and excellent interpersonal skills including the ability to interact with all levels of staff
Demonstrated analytical ability, strong written and oral communication skills
Proven ability to self-manage workload in a fast-paced environment, consistently meeting deadlines
Track record of driving cross-functional teams to act on time-sensitive items with professionalism and persistence
Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Responsibilities

Provide procedural guidance to Portfolio Managers, Wealth Advisors, Salespersons, administrators and internal business partners via email, telephone inquiries and staff meetings
Review and evaluate portfolio holdings verse client account objectives to ensure compliance with best interest standards
Assess and authorize trade corrections, errors, and reallocations for retail clients
Evaluate the trade rotation and allocation processes of portfolio management teams to confirm compliance with established policies and procedures
Examine daily trade blotters and reports to verify compliance with internal policies and external regulations
Evaluate periodic supervisory reports focused on suitability of portfolio holdings and activities within client accounts and liaise with PW teams on resolution of exception items
Drive accountability across business teams by effectively communicating alert findings, tracking open items to closure, and escalating unresolved exceptions with urgency and clarity
Identify patterns and anomalies across large volumes of supervisory data that may indicate elevated risk, conducting thorough follow-up with minimal direction from management
Maintain meticulous documentation of supervisory reviews, alert dispositions, and exception resolutions to support audit readiness and regulatory examination preparedness
Proactively engage Portfolio Management, Advisory, and Operations teams to facilitate prompt action on flagged items, demonstrating the ability to influence outcomes without direct authority
Cross-train in additional supervision areas, dependent upon business requirements
Must be prepared and capable of working on-site five days a week during the first year