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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