UBS
Supervisory Officer
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Key Responsibilities
- Help drive initiatives related to sales supervision, compliance, and business risk, including implementation and education
- Review various supervision processes
- Support branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
- Partner with Compliance, including providing input to policy and supporting communication of policies
- Serve as a point of contact for issues that cannot be resolved, and escalate issues as required
The Team
We help high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisors who deliver products and services specifically designed for them. You’ll be a member of the Manhattan Market Compliance Team.
Your Skills and Experience
- Ideally 2+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
- Series 7, 9/10, 66 (or 63/65); insurance a plus
- Track record of leadership
- Great communicator (and you know how to handle challenging situations)
- Reliable when working independently, with sound judgment for when to escalate issues
- Quickly adaptable to changing market situations, technology, and business needs
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About Us
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves.
Want to find out more? Visit ubs.com/careers.
Join Us
At UBS, we know that it's our people, with their diverse skills, experiences, and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow, and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently.
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We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us. ubs.com/global/en/careers/search-jobs/support.html
Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills, and experiences within our workforce.
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