2 дня назад
Supervision Analyst
80 000 - 100 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Supervision Analyst (Investment Compliance): Reviewing higher-risk activities, supervisory reports, and fund disbursements while preparing governance materials and maintaining audit-ready records with an accent on regulatory compliance, risk detection, and supervisory procedures. Focus on analyzing large volumes of data, identifying anomalies, following up on elevated-risk indicators, and supporting oversight across wealth management and institutional client channels.
Location: New York, NY; hybrid role. Candidates must have the right to work in the United States without current or future sponsorship.
Salary: $80,000–$100,000 per year, plus discretionary bonus and benefits.
Company
provides investment management and wealth management services supported by supervisory and compliance functions.
What you will do
- Prepare materials for Portfolio Manager and Wealth Advisor supervisory reviews and senior management governance meetings.
- Document discussions, track outstanding items, and maintain accurate records for audits and regulatory examinations.
- Review surveillance, exception, and due diligence reports using supervisory tools to identify patterns, anomalies, and elevated-risk indicators.
- Review and approve cash and securities movements submitted through the Funds Disbursement System.
- Provide procedural guidance to investment, sales, administrative, and internal business partners.
- Maintain Microsoft Teams and SharePoint collaboration sites and support ad hoc supervision projects.
Requirements
- Bachelor’s degree required.
- FINRA Series 7, 66, and 24 or 9/10 licenses required; qualified candidates may obtain 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.
- Strong attention to detail, sound judgment, time management, and the ability to manage competing priorities independently.
- Intermediate proficiency in Microsoft Word, Excel, and PowerPoint.
- U.S. work authorization required without current or future sponsorship.
Culture & Benefits
- Collaborative, high-impact work within the Central Supervision Group.
- Hybrid work arrangement.
- Paid time off, medical, dental, and vision insurance.
- Retirement and life insurance benefits for eligible employees.
- Opportunity to cross-train in additional supervision areas.
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