UBS Financial Services Wealth Advice Center Supervisory Officer in Charlotte, New Jersey
Are you an expert on risk and supervision? 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
– perform delegated branch operational risk and supervisory functions (e.g. self-audit, active account reviews, non-operational client issues and complaints, etc.)
– monitor client accounts and transactions and oversee as delegated employee related activity (e.g. outside accounts, political contributions)
– 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 part of the Wealth Advice Center Supervision team and working with Financial Advisors and Client Service Associates within the Wealth Advice Center. You will play a critical role in ensuring operational and supervision policy and procedure adherence and understanding.
We are a collaborative management team supporting our Financial Advisors as they deliver world class Wealth Management services to our clients. Together we run a business focused on mitigating risk, managing the business and supporting our associates and our community. You'll be a member of the Market Team, reporting directly to the Market Supervisory Officer and working closely with the Market Head.
Your experience and skills:
– a minimum of two years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
– experience in risk management, risk control, audit or compliance
– series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
– a track record of leadership, mentoring and coaching success
– analytic, with the ability to provide practical solutions for minimizing risk
– result-oriented and assertive (you don’t shy away from challenging situations)
– 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 #: 175162BR
Business Divisions: Global Wealth Management
Title: Wealth Advice Center Supervisory Officer
City: Charlotte, Weehawken
Job Type: Full Time
Country / State: United States - New Jersey, United States - North Carolina
Function Category: Risk