Tuesday , May 21 2024

UBS Application – Supervisory Officer

Website UBS

Job Description:

You’ll be working as part of Ultra High Net Worth, Wealth Management Americas. We help 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 Market Team, reporting directly to the Market Supervisory Officer and working closely with the Market Management Team.

Job Responsibilities:

  • manage review of various supervision processes
  • serve as a point of contact for issues that cannot be resolved, and escalate issues as required
  • drive initiatives related to sales supervision, compliance and business risk, including implementation and education
  • 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

Job Requirements:

  • great communicator (and you know how to handle challenging situations)
  • series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
  • reliable when working independently, with sound judgment for when to escalate issues
  • track record of leadership, mentoring and coaching success
  • ideally 3 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
  • quickly adaptable to changing market situations, technology and business needs

Job Details:

Company: UBS

Vacancy Type:  Full Time

Job Location: New York, NY, US

Application Deadline: N/A

Apply Here