Supervisory Analyst Resume Samples
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Supervisory Analyst Resume Samples
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FW
F Wiza
Faye
Wiza
709 Mary Heights
Boston
MA
+1 (555) 207 2739
709 Mary Heights
Boston
MA
Phone
p
+1 (555) 207 2739
Experience
Experience
Detroit, MI
Supervisory Analyst
Detroit, MI
Pouros, Kirlin and Koss
Detroit, MI
Supervisory Analyst
- Working closely and collaboratively with Legal & Compliance, Research Management, and Research Analysts
- This involves checking that regulatory constraints are respected, checking for inconsistencies and in some cases rephrasing certain ideas
- In conjunction with Research Management and the Legal Department provide guidance to Research Staff with respect to daily operating issues
- Teamwork-oriented but still can think and work independently
- Communicate daily workflow to management team
- Create, test, and roll out new templates for analyst teams/sectors
- Provide Data and Report Metrics extracted from BlueMatrix
Los Angeles, CA
Complex Supervisory Analyst
Los Angeles, CA
Cummings, Langworth and Bins
Los Angeles, CA
Complex Supervisory Analyst
- Review and supervision as delegated, Producing Branch Manager activities within the complex
- Train new employees regarding risk management practices
- Serve as deputy to the Complex Supervisory Officer and perform delegated supervisory
- Communicate ,implement and ensure compliance with firm risk management guidelines and policies
- Serve as deputy to the Control Officer and perform delegated supervisory functions and oversee the branch operational risk & audit process
- Monitor client accounts and transactions
- Oversee as delegated, employee related activity (e.g. outside accounts, political contributions)
present
Phoenix, AZ
Department of Labor Supervisory Analyst
Phoenix, AZ
Quitzon Group
present
Phoenix, AZ
Department of Labor Supervisory Analyst
present
- Daily trade blotter reviews
- Monthly account reviews
- Reviews of various focus supervisory reports or alerts
- Reviews of requests for exceptions to internal policy guidelines
- Reviews of FA pattern or trend metrics
- Escalation of certain issues to Team Supervisor or to Field Risk Officers
- Documentation of supervisory conduct in Firm systems
Education
Education
Bachelor’s Degree
Bachelor’s Degree
California State University, Northridge
Bachelor’s Degree
Skills
Skills
- Strong problem-solving skills with the ability to exercise sound and balanced judgment
- Ability to use good judgment
- Excellent verbal and written communication skills; proven ability to communicate effectively with diverse constituents
- Strong understanding of finance and economics with relentless attention to detail
- Ability to work under intense deadline pressure while maintaining close attention to detail
- Strong writing skills are desirable
- Strong attention to detail
- Excellent communication skills (written and verbal)
- Team player with good interpersonal skills
- Excellent communication skills
5 Supervisory Analyst resume templates
Read our complete resume writing guides
1
Supervisory Analyst Resume Examples & Samples
- 3-5 years Supervisory Analyst experience
- NASD Series 16 or Series 7, 24, and 87
- Knowledge and experience editing securities documents preferred
- Strong and demonstrated Microsoft Office skills, especially Word, Excel, and Outlook
- An editorial/compliance background is preferred as well as experience in the BlueMatrix publishing system
2
CIB F&BM Supervisory Analyst Resume Examples & Samples
- Ensure that research complies with FINRA and firm guidelines, including watch list review and applying appropriate disclosures
- Multitask in a busy environment and review a variety of products: notes, in-depth company initiations, quick-take alerts, industry reports, blast emails, models, and PowerPoint presentations
- Edit research when required to bring up to quality and control standards
- Work with analysts and associates to reinforce business rules, regulatory guidelines, and look and feel standards
- Participate in management committee meetings on behalf of the SA group
- Coordinate with outside translators, as needed; work with Document Production and Research teams on both Japanese and English language versions of research
3
Regional Supervisory Analyst Resume Examples & Samples
- Serve as deputy to the Regional Supervisory Officer and perform delegated supervisory functions and oversee the branch operational risk & audit process
- Review and supervision as delegated, Producing Branch Manager activities within the Region
- Communicate , implement and ensure compliance with firm risk
4
Supervisory Analyst Resume Examples & Samples
- Minimum four-year Bachelors degree in a related field
- Completion of one or more levels of the CFA program would be an asset; all three levels would be preferred
- An MBA would be an asset
- Equity Research experience on the buy-side or sell-side is required
- Proven attention to detail
- Solid knowledge of equity research compliance procedures
- Strong command of Microsoft Office Suite Ability to multi-task and work well under pressure with minimal supervision
- Good business judgment and decision-making skills
- Ability to work well with a team of Supervisory Analysts in various locations/time zones
- Partners, Director and Senior Officers Course would be an asset
- Ensure consistency throughout equity research publications including models, investment theses and supporting arguments
- Review equity research reports for content, grammar usage and application of editorial styles; all material is in English
- Chaperone communication between equity research staff and other departments where required
- Develop new and maintain existing regulatory standards for the department in collaboration with other Supervisory Analysts and department management
5
Supervisory Analyst Resume Examples & Samples
- Quantitative Analysis Functions
- Matlab and Java Development Functions
- Quantitative trading systems development experience using an object oriented language (C++ or Java is preferable)
- Extensive experience using Matlab for statistical analysis
- Knowledge of the equities markets and futures markets
- Ability to create portfolio "back-testing" environments for equities that account for splits, dividends, or any other corporate actions
- Understanding of factor modeling using data from FactSet, Bloomberg, CapIQ, etc
- Experience gathering, normalizing, and harnessing "big data" within an investment environment
- Experience building (either as an analyst or portfolio manager) "smart beta" products
6
Supervisory Analyst Resume Examples & Samples
- Series 16 registration and experience as a Supervisory Analyst required
- Other registrations encouraged (Series 4, 24, 53)
- Strong financial services background in all asset classes
- Possess and exhibit strong analytical abilities
- Must be service oriented, flexible and willing to adapt to ever-changing demands of the business
7
Supervisory Analyst Resume Examples & Samples
- Open to different ideas and cultures
- 3-5 Years of experience as a Supervisory Analyst
- Prior exposure to financial statement analysis, good quantitative skills and excellent writing skills
- Active Series 16 License Required
8
Supervisory Analyst Resume Examples & Samples
- Review global research for legal & regulatory compliance
- Ensure research product complies with internal policies and guidelines
- Liaise with the Compliance Department on legal and regulatory issues
- Work with analysts and associate analysts to resolve problems
- Work with Editorial and database teams to ensure product quality
9
Supervisory Analyst NY Resume Examples & Samples
- Dependable and do the right thing
- Connected to customers, communities, regulators and each other
- Proactive and able to work autonomously; able to multi-task and work efficiently against tight deadlines
10
Director Supervisory Analyst Resume Examples & Samples
- Review and sign off on equity research and fixed income publications and other communication, ensuring adherence to regulatory guidelines
- Work closely with Research Analysts and Associates to ensure that a clear message is conveyed in all publications
- May require some review of correspondence written in Spanish
- Ensure appropriate disclosures are included in research publications
- Update databases and spreadsheets
- Liaise with the compliance department regarding watch list and restricted list stocks
- Maintain a high level of communication with Equity Research Analysts and Associates
11
Complex Supervisory Analyst Resume Examples & Samples
- Serve as deputy to the Control Officer and perform delegated supervisory functions and oversee the branch operational risk & audit process
- Review and supervision as delegated, Producing Branch Manager activities within the complex
- Manage non-operational client issues and complaints following firm policy and regulatory requirement
- Ensure branch completion of required training modules
- Judgment and Decision-Making
- FINRA Registrations: Series 7, 66, 9 and 10 - Series 3 (if applicable)
12
Supervisory Analyst Resume Examples & Samples
- Review research/strategy products (notes, reports, presentations, etc.) for quality and adherence to relevant regulations and business standards
- Provide regulatory/business approval for research/strategy products to be distributed to investors
- Coordinate FINRA filings for ETF and CEF content with compliance team
- Review requests for public appearances and video recordings and generate appropriate disclosures
- Approve trade requests
- 5+ years Supervisory Analyst experience, 1+ years Registered Principal experience
- Must have passed NYSE Series 16 and 24
- Strong writing skills are desirable
- Must be a highly numerate and literate individual
- Competent PC skills (Outlook, Word, Excel, PowerPoint
- Ability to communicate effectively with all levels of staff both verbally and by email
- Ability to work under intense deadline pressure while maintaining close attention to detail
13
Central Supervisory Analyst Resume Examples & Samples
- Communicate, implement and ensure compliance with firm risk management guidelines and policies in relation to communications with the public policy and other policies that directly or indirectly relate to electronic review functions
- Ensure compliance with legal and regulatory requirements in relation to electronic communication review functions
- Provide daily statistics to the group about incoming emails, reviewed emails, and violations of policies
- Actively review policy updates and changes and adjust the electronic review manual for any changes to these policies if related to electronic communications
- High School Diploma or equivalent required; College Degree recommended
- Strong personal drive and commitment
- LI-PM2
14
Supervisory Analyst Resume Examples & Samples
- Manage the production process of reviewing, editing, and approving equity and policy research communications, such as reports and presentations, including reviewing product for quality assurance and adherence to regulatory and business standards
- Lead the initiation review, approval, and production process, including setup in BlueMatrix, confirming disclosures, obtaining approvals, etc
- Review and approve all Research Public Appearance requests
- Review and pre-approve all Research, Policy, and Research Management trade requests
- Create, test, and roll out new templates for analyst teams/sectors
- Document guidelines and publishing best practices for research group
- Offer support/training for BlueMatrix publishing system
- Communicate daily workflow to management team
- Work with Compliance and Internal Audit to document processes and extract audit log information from BlueMatrix
- Provide Data and Report Metrics extracted from BlueMatrix
- 5+ years prior Supervisory Analyst experience ideal
- Strong understanding of finance and economics with relentless attention to detail
- Must have Series 7, Series 16, and Series 24; or Series 7, Series 24, and Series 87
- BlueMatrix expertise
- Excellent verbal and written communication skills; proven ability to communicate effectively with diverse constituents
- Ability to work effectively as part of a team in a fast-paced environment
- Teamwork-oriented but still can think and work independently
- Fast decision-making skills, mental discipline, and ability to solve problems under pressure
- Effective communicator while under pressure
- Adept at picking up new concepts quickly
- Ability to use good judgment
15
Supervisory Analyst Resume Examples & Samples
- Review of Equity, Fixed Income, Rates and other research material for global regulatory compliance
- Ensure all material meets the firm’s established guidelines
- Co-ordinate with staff globally on formatting, production and distribution of research product
- In conjunction with Research Management and the Legal Department provide guidance to Research Staff with respect to daily operating issues
16
Director Supervisory Analyst Resume Examples & Samples
- Exceptional writing and editing skills in English
- Experience working with non-native English speakers would be an asset
- Knowledge of equity research compliance procedures
- Ability to multi-task and work well under pressure with minimal supervision
17
Supervisory Analyst Resume Examples & Samples
- Review equity research reports for content, grammar usage and application of editorial styles; most material is in English
- Previous Equity Research Analyst or Supervisory Analyst experience is required
- Strong command of Microsoft Office Suite
18
Director Supervisory Analyst Resume Examples & Samples
- Minimum four-year Bachelor’s degree in a related field
- Completion of the CFA program is preferred
- Completion of the Partners, Directors & Seniors Officers (PDO) exam is preferred
- FINRA Series 16 License is preferred (timely & successful completion of the Series 16 exam will be required for individuals who do not have this license)
19
Supervisory Analyst Resume Examples & Samples
- The role is reasonably autonomous but requires global consistency of approach and processes, guided by the global head of supervisory analysts and the global head of research control
- Holder of NYSE Series 16 qualification
- Understanding of purpose and function of research product
- Experience in a relevant buyside or sellside environment
- Must be able to work US West Coast hours but does not have to be located on the West Coast
20
Complex Supervisory Analyst Resume Examples & Samples
- Serve as the primary reviewer of all electronic review functions of the Central Supervision Group
- Communicate, implement and ensure compliance with our risk management guidelines and policies in relation to communications with the public policy and other policies relate to electronic review functions
- Ensure non-operational client issues and complaints are forwarded to the Local Supervisory Officer and processed following firm policy and regulatory requirement
- Communicate with local complexes on all items of related to electronic review functions, including presenting statistic and violations on monthly calls with all complexes under review
21
Supervisory Analyst Resume Examples & Samples
- 5+ years of Securities industry experience
- FINRA Series 24 registration and a Series 4 (Series 4 can be acquired after hire)
- Knowledge of Securities Markets and regulation of Electronic Trading
- Solid technical skills
22
Supervisory Analyst Resume Examples & Samples
- Vetting research for compliance with FINRA/NYSE regulations and Citi internal research content guidelines
- Editing research for quality, clarity, commerciality, style, and grammar
- Project and traffic coordination with the analyst teams, publications staff, and Legal/Compliance
- Strong editorial skills
- Series 16 license holder
- Familiarity with financial markets and robust financial knowledge
- Clear understanding of regulatory guidelines
- Ability to prioritize and handle multiple tasks simultaneously amid tight deadlines
- Strong problem-solving skills with the ability to exercise sound and balanced judgment
- Team player with good interpersonal skills
23
FX Supervisory Analyst Resume Examples & Samples
- Knowledge of the Foreign Exchange instruments and markets specifically spot, deliverable and non-deliverable forwards and options. Familiarity with WM FX Compliance Policies and Procedures. Knowledge of Industry practices around FX pricing, margining
- Ability to resolve complex problems and escalate as necessary
- Ability to interact with multiple levels of Firm and Branch Management
- Ability to thoroughly investigate and problem solve
- Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies
- Background in WM/PWM Risk Management; Compliance, Risk Management, Technology
24
Supervisory Analyst Resume Examples & Samples
- The successful candidate will join Citi Research’s Global Research Center (GRC)
- Citi Research is seeking a Supervisory Analyst / Editor for our Global Research Publications Team. The position will be covering the EMEA time-zone, based in Mumbai
- 3 years of experience in a financial firm and robust financial knowledge
- Familiarity with financial markets
25
VP, Supervisory Analyst Resume Examples & Samples
- Review MARK/GRS research reports (Company, Sector, Macro and Quant) written in English by native and non native speakers subject to very tight deadlines to improve the quality of our publications
- Reports include one-page dailies, twenty-page reports or more hefty monthly reports (some are over 100 pages long)
- Post-holder is expected to work with the Editors and SAs based in Paris, London and NY
- Experience in Finance institutions
26
Department of Labor Supervisory Analyst Resume Examples & Samples
- Daily trade blotter reviews
- Monthly account reviews
- Reviews of various focus supervisory reports or alerts
- Reviews of requests for exceptions to internal policy guidelines
- Reviews of FA pattern or trend metrics
- Escalation of certain issues to Team Supervisor or to Field Risk Officers
- Documentation of supervisory conduct in Firm systems
- Preparation of reports
- Strong working knowledge of brokerage retirement products
- Risk, Compliance or Internal Audit experience preferred
- Keen understanding of interplay risk functions, internal policies & procedures, and regulatory rules
- Excellent analytical ability with attention to detail
- Excellent interpersonal and communication(written and verbal) skills
- Ability to work collaboratively with senior levels of management within the business, legal and compliance
- Ability to interact with Management
27
Supervisory Analyst Resume Examples & Samples
- Reviewing research in Japanese and English to ensure compliance with US regulatory and firm requirements (the key function of the SA role)
- Ensuring the integrity of the translated product into English or Japanese
- Editorial work on the same material
- Screening companies mentioned in each report and routing research through to the compliance control room where necessary / amending text to ensure it fits in with compliance guidelines
- Distributing research through the firm’s publishing platform
- Liaising with analysts over ad hoc issues in research as and when they arise
- Liaising with other members of the SA and research production team to ensure that research sent out is of the highest quality in terms of compliance, content and format
- 4+ years related experience as a supervisory analyst or analyst
- 4+ years experience of regulatory guidelines and ability to prioritize in a fast moving, high pressure, constantly changing environment
- Series 16 and Series 24 required
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Good interpersonal skills and excellent written and oral communication skills
- Control Room/research experience, preferred
- Ability to handle multiple tasks simultaneously and work under tight deadlines
28
Supervisory Analyst Resume Examples & Samples
- The Supervisory Analyst/Associate will be responsible for monitoring and assessing the identified Bank
- Stay abreast of relevant domestic and international regulatory developments and assess their potential impact on the firms’ payments activities and risks associated with areas of responsibility
- Lead team efforts to review, assess, and coordinate team analysis regarding the supervised firm’s Regulation HH filings with the Federal Reserve Board (particularly Advanced Notice of Proposed Rule Change filings), as well as coordinating team responses to the Bank’s Oversight Committee and secretariat
- Coordinate team efforts to liaise with other areas of Supervision and the Bank more broadly regarding the supervised firm, including providing firm overviews/presentations, responding to information requests, and assisting/leading any crisis management responses
- Data Analysis – responsibility for liaising with the firm and internal FR constituents to maintain effective settlement reporting and provide analysis and context where necessary. In addition, serve as liaison with various teams to potentially enhance data analysis regarding the supervised firm
- Coordinate team efforts to ensure compliance with the Bank’s Group Operating Procedures, including following up on outstanding issues, updating and maintaining appropriate databases, and ensuring the team is adhering to current operating procedures
- Provide general support to the team’s supervisory efforts, including examination support and continuous monitoring. Responsibilities include including potentially managing an examination scope area, database management, assisting with meeting minutes, and contributing to the product memorandum
- Participate in, or lead, special projects, FRS initiatives and coordinated supervisory efforts related to areas of responsibility
- Presentations and Reports – assist the supervisory team with producing supervisory planning and annual assessments reports, analysis, and presentations for internal vettings and Oversight Committee meetings
- Critical thinking skills including analytical problem solving and synthesizing information into meaningful themes
- Strong written and verbal communication skills, with the ability to synthesize information effectively
- Effective presentation skills, including ability to do so in front of senior stakeholders and committees
- Ability to assimilate new information and keep abreast of a rapidly evolving financial services landscape
- Self-management, as evidenced by the ability to take initiative and ownership of assignments, produce results under tight time constraints both independently and as a member of a team, and operate effectively given rapidly evolving priorities
- Strong collaboration skills and ability to build effective working relationships within Supervision and with stakeholders external to Supervision (e.g., Firm Management, Board staff, Payments Policy Function, Bank Oversight Committee)
- Occasional travel to London may be required
29
Supervisory Analyst Resume Examples & Samples
- Ensuring research meets all legal and regulatory requirements
- Ensuring research meets UBS's internal policies, as specified by Research Management
- Working closely and collaboratively with Legal & Compliance, Research Management, and Research Analysts
30
Supervisory Analyst Resume Examples & Samples
- Review MARK/GRS research reports (Company, Sector, Macro and Quant) written in english by native and non native speakers subject to very tight deadlines to improve the quality of our publications
- This involves checking that regulatory constraints are respected, checking for inconsistencies and in some cases rephrasing certain ideas
- The job also requires working in close collaboration with financial analysts (equity and credit), strategists and quantitative analysts
- This position does not involve any translation work
- Proven analytical, computer and interpersonal skills as well as exceptional writing, communication and presentation skills are required
- The post involves working in a fast paced and demanding environment
- It requires an individual who has a strong interest and understanding of financial markets
- Main skills required are ability to work quickly in a fast moving environment and ability to keep communication flowing despite the pressure
- Flexibility is also a prerequisite as the nature of the business means that content changes rapidly, and this often means editing more that one publication at a time
31
Supervisory Analyst Resume Examples & Samples
- Citi Research is seeking a Supervisory Analyst / Editor for our Global Research Publications Team
- Vetting research for compliance with FINRA / NYSE regulations and Citi internal research content guidelines
- Project and traffic coordination with the analyst teams, publications staff, and Legal / Compliance
