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 the communication of new guidelines
• Serve as a primary point of contact for unresolved issues and escalate matters as required

Requirements

• 2+ years of experience as a risk/supervisory manager or in a substantive leadership role within a leading financial institution
• Possession of Series 7, Series 8 (or 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 in the insurance sector

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 high net worth and ultra-high net worth individuals and families worldwide.