Supervisory Officer

About the role

We're looking for a Supervisory Officer who can:

• 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

Job Type: Full Time
Location: New York, NY

About the team

We help 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 Team.

Requirements

• 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, with sound judgment—validating outputs and aligning with policies, risk standards, and ethical use

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.

Pay

The indicative gross base salary range for this full-time role in New York, NY is USD 140,000 – USD 180,000 per annum. The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location, and skill level.

Benefits

UBS offers a range of competitive benefits. Additional variable compensation or awards may be provided at our sole discretion. For further information, please visit ubs.com/employee-benefits.