Supervisory Officer

UBS•New York, NY

14d•$140,000 - $180,000•Onsite

About The Position

We are looking for an expert in risk and supervision who can 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 successful candidate will be a member of the Manhattan Market Team, which supports high net worth and ultra-high net worth individuals and families in meeting their financial goals through specialized financial advisors.

Requirements

Ideally 2+ 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
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

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