UBS
Your role
Are you an expert on risk and supervision? Do you know how to make the right call in challenging situations?
We’re looking for a market supervisory officer 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 elevate issues as required
Denver: the salary range for this role is $140000 to $180000.
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.
Your team 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 expertise
ideally 10 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
track record of leadership, mentoring and coaching success
great communicator (and you know how to handle challenging situations)
reliable when working independently, with sound judgment for when to elevate issues
quickly adaptable to changing market situations, technology and business needs
About us UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries.
Salary information US Only: The expected salary range for this role is $140000 to $180000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see “Your role” section for detailed salary information.
Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
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.
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We’re looking for a market supervisory officer 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 elevate issues as required
Denver: the salary range for this role is $140000 to $180000.
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.
Your team 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 expertise
ideally 10 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
track record of leadership, mentoring and coaching success
great communicator (and you know how to handle challenging situations)
reliable when working independently, with sound judgment for when to elevate issues
quickly adaptable to changing market situations, technology and business needs
About us UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries.
Salary information US Only: The expected salary range for this role is $140000 to $180000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see “Your role” section for detailed salary information.
Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
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.
#J-18808-Ljbffr