UBS Financial Services Supervisory Officer in Century City, California
The Supervisory Officer of Los Angeles Private Wealth Management handles risk and supervision for the Market. Do you know how to make the right call in challenging situations? We’re looking for someone like that to:
– drive initiatives related to sales supervision, compliance and business risk, including implementation and education
– manage all hiring and personnel decisions, coach the supervisory team and provide training on supervisory tools, new compliance bulletins and operational procedures
– manage review of 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
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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.
You’ll be working as part of Private Wealth Management. 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 will be reporting directly to the Market Supervisory Officer and working closely with the Market Head and Administrative Manager.
Your experience and skills:
– a minimum of four years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
– series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
– a track record of leadership, mentoring and coaching success
– a 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
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
Job Reference #: 171494BR
Business Divisions: Wealth Management Americas
Title: Supervisory Officer
City: Century City
Job Type: Full Time
Country / State: United States - California
Function Category: Compliance