Supervisory Officer
Job Type: Full Time
Location: Dallas, Plano
About the role
We’re looking for a Market Supervisory Officer to:
- Drive initiatives related to sales supervision, compliance, and business risk, including implementation and education
- Manage review of various supervision processes
- Support branches in the Branch Review and Group Internal Audit processes, and work 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
About the team
You’ll be working as part of Wealth Management Americas. 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.
Requirements
- 5+ 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) licenses; insurance license a plus
- Track record of leadership, mentoring, and coaching success
- Strong communication skills
- Reliable when working independently, with sound judgment for when to escalate issues quickly
- Adaptable to changing market situations, technology, and business needs
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.