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Neuberger Berman Supervision Officer in New York, New York

Summary :

The Central Supervision team (CSG) assists in the development, implementation and enforcement of supervisory policies and procedures across Neuberger Berman’s CSG), North American Institutional and North American Intermediary client coverage channels. CSG seeks a qualified candidates to join our high-impact team.


  • Principal review and approval of account maintenance and new accounts, including natural person and entity new accounts, with strategies spanning across asset classes (equity, fixed income, private equity/credit and hedge funds) with emphasis on best industry standards, investment policy statement (IPS) review and meeting appropriate documentation requirements

  • Monitor Discretionary & Non-Discretionary Investment Advisory program relationships, using proprietary firm tools, with focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles, suitability of portfolio holdings, alternative investment exposure, diversification analysis and related account activities within client relationships)

  • Timely review and approval of client correspondence, including print and electronic communications, such as customized presentations, wealth analysis/financial plans, strategy decks and email surveillance in accordance with FINRA and SEC rules regarding communications with the public, all under tight deadlines

  • Assist in preparation of materials for Portfolio/Wealth Manager “book” reviews and participate in meetings with stakeholders to ensure investment advisory relationships are managed in accordance with client investment objectives and goals, document substantive items raised during meetings and ensure outstanding items closed out by applicable team

  • Cross-train in additional supervision areas, dependent upon business requirements


  • Bachelor’s Degree required

  • Series 7, 66 and 24 (or 9/10) licenses required, unlicensed candidates will not be considered

  • 5-7 years of investment advisory or broker-dealer experience, ideally with background in supervisory principal activities

  • Highly motivated with excellent attention to detail and time management skills

  • Must be able to operate independently and function as a team player

  • Demonstrated ability to use sound judgment and critical thinking skills to investigate, evaluate and resolve complex issues

  • Strong collaboration, influence and interpersonal skills

  • Strong analytical capabilities and proficiency with Microsoft office applications

Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact .

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