Supervision Analyst

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.

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

Qualifications:

• 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

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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.

Compensation Details

The salary range for this role is $80,000-$100,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

Neuberger is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact [email protected].

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