Home Office Supervisory Officer

UBS • Nashville, TN

2d • $90,000 - $120,000

About The Position

Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like this who can: • act as apliance 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

Requirements

• Bachelor's degree
• Ideally 3+ years of experience within the financial industry in the areas of risk management, risk control, audit orpliance/supervision
• FINRA Series 7, 66, 9& 10 (or equivalent) required
• analytic, with the ability to provide practical solutions for minimizing risk
• result-oriented and assertive (you don't shy away from challenging situations)

Nice To Haves

• FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred

Responsibilities

• act as apliance 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees