Supervision Analyst

Position overview

The Supervision Analyst will support the Supervision team in daily oversight activities, data analysis, and process improvement initiatives. This is a hands-on role focused on executing supervisory routines, enhancing data-driven monitoring, and contributing to efficiency and automation projects.

This position plays a key role in maintaining a strong control environment while helping scale supervisory processes through improved reporting, workflow optimization, and technology enablement.

Key Responsibilities:

• Assist with daily supervisory reviews (trades, blotters, alerts, and sales practices)
• Support account activity monitoring to identify exceptions, trends, and risks
• Execute assigned supervisory routines accurately and on time
• Assist with error tracking and documentation
• Assist in analyzing supervisory data to identify patterns, anomalies, and control gaps
• Prepare and enhance reports and dashboards for management
• Partner with IT teams to improve data quality and reporting processes
• Support automation and efficiency initiatives within the Supervision function
• Contribute to workflow optimization and process standardization
• Maintain and update desktop procedures and control documentation
• Assist in scaling supervisory processes through technology and data solutions
• Collaborate with Compliance, Legal, Operations, Risk, and IT teams
• Support audits, exams, and remediation efforts
• Assist with ongoing reviews and new product processes as needed

Required Qualifications

• Bachelor's degree in Finance, Business, Economics, Data Analytics, or related field
• 1-3 years of relevant experience (financial services, supervision, compliance, operations, or analytics)
• Strong data analytics skills (advanced Excel required; or other analytical tools a plus)
• High attention to detail and strong organizational skills
• Ability to manage multiple priorities across daily tasks and projects
• Strong communication and collaboration skills
• Basic knowledge of broker-dealer operations and U.S. regulatory framework (FINRA/SEC)
• Experience with trading, supervision, or control environments
• Portuguese and/or Spanish
• FINRA licenses (Series 99, 7 or 63) preferred. Candidates that do have the licenses, must obtain within 6 months of hire.

Salary Range - 90-110k

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