Supervision Analyst

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
• LI-MB1
• LI-Hybrid
• Compensation Details

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.