UBS Financial Services Supervisory Officer in New York, New York
A Supervisory Officer works with the market team to drive proactive risk management and supervision within the
markets. They report to the Market Supervisory Officer and perform sales supervisory and approval activities as delegate.
∗ Support initiatives related to sales supervision, compliance and business risk, including implementation and
∗ Develop metrics to evaluate and mitigate risk, improve existing processes, put new processes (including training)
into action and systematically track these
∗ Perform delegated supervisory functions and oversee the branch operational risk and audit process
∗ Educate employees on compliance policies, related procedures and UBS group operational risk framework
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.
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 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 Market Team, reporting directly to the Divisional Supervisory Officer and working closely with the Market Head. You'll lead a team of supervisory officers across your market, acting as a coach on all aspects of the role.
Your experience and skills:
– a minimum of ten 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 almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 152765BR
Business Divisions: Wealth Management Americas
Title: Supervisory Officer
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Compliance, Risk