Supervisory Analyst Job Description
Supervisory analyst
provides expert applications support utilizing advanced skills in MS Word, Excel, Lotus Notes/Outlook, mobile devices, iManage and all other firm-wide applications.
Supervisory Analyst Duties & Responsibilities
To write an effective supervisory analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included supervisory analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Reviews all Equity Research communications intended for use with the public
Ensures timely release of Equity Research publications
Oversees the launch of new companies under coverage
May develop communication and editing procedures
Works with Compliance to develop disclosures for new companies under coverage
Establishes quiet periods for recent deals, lock-ups, and communicates this to the Analyst
Coordinate with outside translators, as needed
Review all incoming and outgoing correspondence, incoming and outgoing faxes, designated emails, registration updates and employee pre-hires
Review and approve gift and outside business requests, opening of new accounts and employee personal trading requests
Analyze and review accounts for suitability concerns on a monthly basis process cancel/corrects
Supervisory Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Supervisory Analyst
List any licenses or certifications required by the position: DAWIA, III, DISA, II, SA, PM, IAW, CPR, MANAGEMENT, FINANCIAL
Education for Supervisory Analyst
Typically a job would require a certain level of education.
Employers hiring for the supervisory analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Education, Management, Department of Education, Accounting, Economics, Finance, Business, Marketing, Industrial, Organization and Management
Skills for Supervisory Analyst
Desired skills for supervisory analyst include:
Microsoft Word
Accounting terms and calculations
Brokerage retirement products
Equity research compliance procedures
Exchange and Firm Compliance Policies
SEC
Excel and outlook is necessary
Excel and Outlook
FINRA rules and regulations
Desired experience for supervisory analyst includes:
Be able to communicate well with the Tokyo analyst teams and other parties
Be willing to work longer hours when needed
Be able to translate equity and macro research from English to Japanese
NYSE Series 16 (Supervisory Analyst) holder
Ability to effectively communicate with all levels of personnel within and outside of the Private Bank
Able to provide assistance across regional teams as needed
Supervisory Analyst Examples
1
Supervisory Analyst Job Description
Job Description Example
Our innovative and growing company is hiring for a supervisory analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervisory analyst
- Work with technology to implement strategic solutions and process improvements across various controls
- Working with Supervisors and compliance, proactively identify potential compliance and regulatory risks and implement solutions to ensure compliance
- Prepare responses to regulators, review regulatory requests and responses to ensure consistency across the division
- Review issues across the division from various sources (ORMA, Internal Audit, CTG, Compliance, Ops, Regulators, ), escalate to senior management as needed, track issues and review for trends, review for consistency in resolution, and be involved in issue remediation
- Supports and works with the Asia Supervisory Management Team Leader
- Preparation of summary reports and ad hoc materials for meetings and presentations
- Reporting and data collation
- Supporting the team with drafting and updating of written supervisory procedures
- Supporting the regional team on management of Control Self Assessments (CSAs)
- Business initiatives support specific to Regional Supervisory Management function
Qualifications for supervisory analyst
- Series 7, Series 63 exams will need to be taken within 120 days of start date and you will be required to pass the Series 24, 9, 10 and 4 within one year of start date
- Self-starter who requires minimal management oversight for day to day responsibilities the ability to work in a team environment
- Completion of levels of the CFA program would be an asset
- Support the team on training initiatives, staffing model, tracking team metrics
- Assist with document production and organization as needed for audits
- Pre-new account opening analysis and review – Analyze new account transfer documentation, statements of incoming Assets, and other data points for comparison to JPM approved assets lists
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Supervisory Analyst Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of supervisory analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervisory analyst
- Prepare summary of results for each new account opening for the DE SMs prior to the pre-acceptance of assets approval
- Track new account requests and prepare summary reports of pre-acceptance analysis
- Assist DE SMs with analysis needed for their centralized reporting functions
- Assist in analysis and research as needed for audits, DE SM special projects, and other data requests
- Perform quality control around investment analysis
- Ensure views are consistent throughout a document, in line with published macro views and the views of analysts covering related sectors
- Ensure that the research complies with GIR policy
- Manage the editing and production process from point of submission to point of distribution using proprietary applications
- Lead the initiation review, approval, and production process, including setup in BlueMatrix, confirming disclosures, obtaining approvals
- Provide support for technology projects
Qualifications for supervisory analyst
- Knowledge of WM Operations and Front Office processes and procedures preferred
- Prior analyst experience preferred
- Flexibility – our business and what it requires of us are constantly evolving
- Ability to multi-task and work with teams independently
- FINRA licenses – Must be registered as a Supervisory Analyst (Series 16)
- Experience – Must have at least three years of experience as a supervisory analyst for a broker dealer, and be highly proficient in editing and reviewing reports
3
Supervisory Analyst Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of supervisory analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervisory analyst
- Coordinate project meetings, assist in gathering necessary project requirements and information, maintain project information in project repositories, and monitor and track progress against project plan
- Generate and distribute program/project documentation
- Track progress actions and issues as requested
- Execute a moderate number of decisions within their projects
- Research issues and make recommendations to resolve while working in partnership with a Project Leader
- Responsible for leading and coordinating small projects, managing the change control procedure and expenditures within their projects as needed with leadership's direction
- Identify, assign priority, monitor, communicate, and/or resolve elements that can impact a project
- Conducting supervisory reviews
- Scheduling and carrying out periodic meetings with business line managers regarding supervisory reviews
- Escalating issues identified in the reviews to the business line managers and Legal and Compliance
Qualifications for supervisory analyst
- Language skills – Ability to communicate in Spanish is not required, but would be helpful
- Supervisory Analysts may be required to attend PRC meetings, acting as PRC co-ordinator
- Must have Series 7, Series 16, and Series 24
- Supervisory Analyst (NYSE Series 16)
- Familiarity with Japanese companies and markets
- NYSE Series 16 and 3-5 years’ experience as a Supervisory Analyst
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Supervisory Analyst Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of supervisory analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for supervisory analyst
- Developing management information on trends noted in conducting the supervisory reviews
- Managing the tool used to evidence supervisory reviews, including updates and enhancement priority
- Working on firm wide projects, assessing the impact of each project on supervision and implementing any necessary enhancements required by each project
- A series 16 or Series 24/ 87 licenses
- At least two years of demonstrated SA and editorial experience
- The ability to manage competing priorities and meet tight deadlines
- The ability to work well in a high-pressure environment
- Provide guidance to Research Staff with respect to daily operating issues in conjunction with Research Management and the Legal Department
- Drafting written supervisory procedures and revising existing written supervisory procedures as necessary
- Reviewing research to ensure it complies with US regulatory and firm requirements (the key function of the SA role)
Qualifications for supervisory analyst
- Candidates must be proficient in Word, Excel and PowerPoint
- Experience with SQL Developer and Hyperion or other business query tools
- Advanced skills in Microsoft Excel including modeling and pivot tables
- Aptitude to quickly learn and fully understand the principles and functional complexities of the supervisory systems and their relationship to other systems is critical
- Two to four years of relevant business experience required
- Ability to work in collaboration with other team members and leadership
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Supervisory Analyst Job Description
Job Description Example
Our growing company is looking to fill the role of supervisory analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervisory analyst
- Approving models, powerpoint presentations blast voicemails where appropriate and feasible
- Coordinate with product carriers and/or other units of GRC to complete reviews
- Flexibility to work on ad hoc reporting and requests
- Serving as a member of the budget advisory team to top Bureau management officials regarding budget guidelines, methodologies, and processes
- Responsible for the formulation of policies, plans, systems, and procedures to manage and continually improve bureau's budget program
- Monitors monthly obligations, analyzes expenditure trends and coordinates major reprogramming actions
- Ensuring a system of administrative control which will assure the most effective and economical expenditure of appropriated funds, eliminating any possible violations of anti-deficiency regulations and ensuring that funds are available to carry out budgeted programs
- Providing briefings on the Bureau’s financial status, oversees special projects of the Budget Branch, performs special assignments, and prepares reports and associated financial data
- Functions as a special staff/projects officer with Operations Group, , provides all administrative support, awards, efficiency reports (3 civilians), and all operational, logistical and administrative requirements
- Provides briefings as required (in-briefings, out-briefings, training meetings, rotational requirements, civilian/public briefings/meetings)
Qualifications for supervisory analyst
- Minimum 1 year experience in a public accounting environment preferred
- Minimum 1 year experience supervisory or lead experience preferred
- Relevant 3 years accounting experience with emphasis on financial analysis
- Strong leadership traits
- Proven analytical, computer and interpersonal skills exceptional writing, communication and presentation skills are required
- 3+ years of working in a Financial Services Firm or Institution