Supervisory Analyst Cover Letter

I submit this application to express my sincere interest in the supervisory analyst position.

In my previous role, I was responsible for supervisory review of US/LatAm Equity, Fixed Income (including Corporate Credit, Economics, Commodities, Technical Analysis, Securitized Products, FX and Rates) and Equity Derivatives Research.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Continually seeks opportunities to improve processes, expand personal skills, and evolve their role
• Experience with Thompson Reuter’s Beta system
• Familiarity with investment advisory products and services or insurance company separate accounts
• Financial services - Regulatory & Email Surveillance experience
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• A Resume showing relevant experience
• Certain Family Members Eligible under E.O
• Excellent communication skills, be a self-starter, a problem-solver and have a strong commitment to Firm and client guardianship

I am excited to be applying for the position of supervisory analyst. Please accept this letter and the attached resume as my interest in this position.

Previously, I was responsible for 24-hour weekday and occasional weekend support for the research analysts in Credit Suisse Equity, Fixed Income, and Economics Research, including the growing Chinese Equity Research team, and for authors in other areas of the firm as necessary.

Please consider my experience and qualifications for this position:

• Familiarity with IBM Quality Center (QC) strongly preferred
• General understanding of broker dealer products, operations and back office trade flows, particularly in the institutional equities space
• Proficiency with Microsoft Office applications, including strong Excel skills
• Strong interpersonal skills for direct interaction with OSJ Branch Managers and Delegates
• Principles, practices, and procedures of research and editing
• Financial markets and basic understanding of accounting
• Understand of SEC and FINRA rules/regulations, industry practice and how they apply to Firm policies and procedures
• Communicate information and ideas in spoken or written form so that others will understand

I am excited to be applying for the position of supervisory analyst. Please accept this letter and the attached resume as my interest in this position.

Previously, I was responsible for direction on required changes to Livingston’s corporate and compliance policies and procedures to incorporate new regulations.

Please consider my experience and qualifications for this position:

• Strong understanding of investing, markets, investments and investment strategies
• Strong understanding of portfolio and risk analytics
• Strong understanding of fundamental investment metrics such as P/E, yield, duration and credit quality
• Strong understanding and/or aptitude for of the regulatory rules that govern the conduct of brokers and investment advisors
• Strong understanding and prior use/application of risk analytics including Sharpe ratio, tracking error analytics, value-at-risk, tail risk, stress testing and Monte Carlo, among others
• Only experience gained by closing date will be considered
• Offutt AFB, NE Few vacancies
• This is a supervisory pos’n

I am excited to be applying for the position of supervisory analyst. Please accept this letter and the attached resume as my interest in this position.

Previously, I was responsible for compliance support to branch associates to ensure compliance with FINRA regulations.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Attention to detail and strong analytical skills needed
• Understanding of SEC and FINRA rules/regulations, industry practice and how they apply to Firm policies and procedures
• Strong technical skills including Excel, Macros and Pivot Tables
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• Experience as supervisory analyst or in compliance or auditing desirable
• Informal or formal team leadership experience desirable
• Experience with quality assurance (system testing) in a technology environment
• Demonstrated technical accuracy, attention to detail and strong problem solving skills

I am excited to be applying for the position of supervisory analyst. Please accept this letter and the attached resume as my interest in this position.

Previously, I was responsible for interpretation and guidance on rules and requirements to management (transition some lower level decisions from Corporate Compliance).

Please consider my experience and qualifications for this position:

• Work collaboratively with cross-functional partners (Compliance, IT, risk management) and with the investment platform leadership and business management team to design and implement supervisory reporting and tools for use by investment line management
• Design, implement and maintain a robust supervision management platform for the Investment Platform
• Lead projects to close supervisory gaps as identified in the Supervisory Assessment for each investment group
• Review the existing compliance supervision program
• Support fiduciary and regulatory oversight of investors by leveraging the tools noted previously in regular monitoring activities
• Participate in cross-functional working groups and projects where input from Supervisory Practices is needed
• Assertive self-starter who can work independently to identify, research and resolve unfamiliar issues
• Willingness/aptitude to explore the use of new technology/tools