Supervisory Officer

UBS•New York, NY

8d•$105,000 - $130,000•Onsite

About The Position

We're looking for an expert on risk and supervision who knows how to make the right call in challenging situations. This role will help drive initiatives related to sales supervision, compliance, and business risk, including implementation and education. The position involves reviewing various supervision processes, supporting branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits. The role also requires partnering with Compliance, providing input to policy, and supporting the communication of policies. Additionally, the Supervisory Officer will serve as a point of contact for issues that cannot be resolved and escalate issues as required. The team is responsible for helping 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 Manhattan Market Supervisory Team.

Requirements

Series 7, 9, 10, 66 (or 63/65); insurance a plus
Track record of leadership
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

Nice To Haves

Ideally 2+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution

Responsibilities

Help drive initiatives related to sales supervision, compliance and business risk, including implementation and education
Review 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 escalate issues as required