Supervisory Officer

UBS•Chicago, IL

3d•$105,000 - $130,000

About The Position

We're looking for a Supervisory Officer who can help drive initiatives related to sales supervision, compliance and business risk, including implementation and education. This role 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 Supervisory Officer will also partner with Compliance, providing input to policy and supporting communication of policies, and serve as a point of contact for issues that cannot be resolved, escalating issues as required. This position is part of the Midwest Market Team, which helps 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. UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland, also providing diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. Collaboration is at the heart of everything UBS does. The company is committed to disability inclusion and offers reasonable accommodation/adjustments throughout the recruitment process.

Requirements

Ideally 3+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
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
Curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

Nice To Haves

Insurance a plus

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