UBS Financial Services Market Supervisory Officer in New York, New York
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
– provide training on supervisory tools, new compliance bulletins and operational procedures
– review of various supervision processes
– support branch in the Branch Review and Group Internal Audit processes
– 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 Wealth Management Americas. We help 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 Head.
Your experience and skills:
– a university degree preferred
– experience in a financial services environment
– Series 3,7,9,10,66
– 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 #: 175134BR
Business Divisions: Global Wealth Management
Title: Market Supervisory Officer
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Management and Business Support