Supervision Analyst

    • Job Tracking ID: 85444-351056
    • Job Location: TBD / TBD, USA
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 10/12/2022
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

The Investment Banking Supervision Analyst ("Supervision Analyst") is responsible for a wide variety of delegated supervision responsibilities. This role provides supervisory support and advice, ensures WSPs are up-to-date and accurate, and collaborates with the Compliance team in designing supervisory controls.
The Supervision Analyst supports the Firm's Investment Banking’s business objectives and contributes to the business unit by influencing Investment Banking business practices in ways that minimize regulatory risk as well as uphold the Firm’s reputation.

Experience and Skills

Principal duties:
1. Assist with performance of supervision activities to meet regulatory requirements
2. Monitor adherence to Written Supervisory Procedures (WSPs) and participate in the amendment or creation of WSPs
3. Review and approve trade pre-clearance and personal activity requests
4. Review and approve associate transactional activities
5. Work with Compliance to maintain firm’s watch list and restricted list as well as associates permitted to engage in wall-crossing activities
6. Conduct social media, electronic communications (email, approved instant messaging applications and approved text messaging) review, identify and address concerns, escalate issues when necessary
7. Review pitch books
8. Review and approve Investment Banking marketing materials
9. Oversee AML requirements concerning KYC, CDD and CIP for Investment Banking clients
10. Oversee record keeping and document retention to ensure compliance with regulatory standards, including deal file oversight
11. Assist with new hire onboarding and training
12. Provide supervisory advice to Investment Bankers, supervision staff and executive-level stakeholders
13. Assist with Departmental procedures and processes to ensure alignment with Firm policies
14. Collaborate with the Compliance department to implement supervisory processes in response to regulatory developments
15. Participate with the Legal and Compliance departments with regulatory responses as well as internal and external audits, investigations or inquiries
16. Perform other duties and tasks as required and assigned

* Bachelor’s degree in Business, Finance or related Field or moderate to significant industry work experience
* Proficient knowledge of FINRA, SEC, and state jurisdiction rules and regulations related to securities compliance, particularly in the area of Equity Capital Markets
* Successful completion of FINRA Securities Industry Essentials (SIE) Exam and Investment Banking Representative Exam (Series 79), Uniform Combined Securities State Law Exam (Series 63 or 66), General Securities Principal (Series 24) within 120 days if the licenses are not currently held
* Strong written and oral communication and interpersonal skills
* Ability to work with others in a professional manner in a variety of situations
* Ability to handle confidential information and matters with discretion
* Ability to work well under pressure and handle multiple priorities while maintaining a positive and productive attitude
* Demonstrated initiative, desire to challenge the process and ability to work independently

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.