UBS
Join to apply for the
Home Office Supervisory Officer
role at
UBS .
Responsibilities
act as a compliance and operational risk control subject-matter expert for a centralized group supervising daily trade activity, supporting them in managing risk
perform first-line-of-defense activities in relation to consequential risks
ensure risk frameworks are designed well and operating effectively
deliver monthly reports that shed light on risk profiles of market areas in reference to daily trade reviews
provide business management with controls, tools, frameworks, information and insights required to manage risk
enforce employee conduct framework to drive expected behavior
Qualifications
Bachelor's degree
Ideally 3+ years of experience within the financial industry in the areas of risk management, risk control, audit or compliance/supervision
FINRA Series 7, 66, 9 & 10 (or equivalent) required
FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred
analytic, with the ability to provide practical solutions for minimizing risk
result-oriented and assertive (you don’t shy away from challenging situations)
Salary and Benefits Weehawken: the salary range for this role is $90,000 to $120,000. The expected salary range 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.
Job Type Full Time
Location Nashville, Raleigh, Weehawken
Team We are a collaborative central team supporting our Markets as they deliver world class Wealth Management services to our internal and external clients. Together we run a centrally focused team on mitigating risk, managing the business and supporting our associates and our community.
About Us UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.
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. We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
#J-18808-Ljbffr
Home Office Supervisory Officer
role at
UBS .
Responsibilities
act as a compliance and operational risk control subject-matter expert for a centralized group supervising daily trade activity, supporting them in managing risk
perform first-line-of-defense activities in relation to consequential risks
ensure risk frameworks are designed well and operating effectively
deliver monthly reports that shed light on risk profiles of market areas in reference to daily trade reviews
provide business management with controls, tools, frameworks, information and insights required to manage risk
enforce employee conduct framework to drive expected behavior
Qualifications
Bachelor's degree
Ideally 3+ years of experience within the financial industry in the areas of risk management, risk control, audit or compliance/supervision
FINRA Series 7, 66, 9 & 10 (or equivalent) required
FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred
analytic, with the ability to provide practical solutions for minimizing risk
result-oriented and assertive (you don’t shy away from challenging situations)
Salary and Benefits Weehawken: the salary range for this role is $90,000 to $120,000. The expected salary range 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.
Job Type Full Time
Location Nashville, Raleigh, Weehawken
Team We are a collaborative central team supporting our Markets as they deliver world class Wealth Management services to our internal and external clients. Together we run a centrally focused team on mitigating risk, managing the business and supporting our associates and our community.
About Us UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.
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. We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
#J-18808-Ljbffr