Supervisory Officer

Responsibilities

• Drive initiatives related to sales supervision, compliance, and business risk, including implementation and education
• Review various supervision processes to ensure regulatory alignment
• Support branches during Branch Review and Group Internal Audit processes, including site visits and developing action plans for audit findings
• Partner with the Compliance department to provide input on policy and support policy communication
• Serve as a primary point of contact for unresolved issues and escalate matters as required

Requirements

• 3+ years of experience as a risk/supervisory manager or in a substantive leadership role within a leading financial institution
• Active Series 7, Series 9/10, and Series 66 (or 63/65) licenses
• Proven track record of leadership
• Strong communication skills with the ability to handle challenging situations
• Ability to work independently with sound judgment regarding issue escalation
• Adaptability to changing market situations, technology, and business needs

Preferred Qualifications

• Experience with insurance-related compliance and supervision

About the Company

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We provide diversified asset management solutions and focused investment banking capabilities, serving clients in more than 50 markets around the globe. We place collaboration at the heart of everything we do to help high net worth and ultra-high net worth individuals and families meet their financial goals.