Supervisory Officer

Job Summary

We are seeking an expert in risk and supervision to join our team. Key responsibilities include driving initiatives related to sales supervision, compliance, and business risk, supporting branches in supervision processes, and serving as a point of contact for escalated issues.

About the Role

Our team helps high net worth and ultra-high net worth individuals and families achieve their financial goals through tailored financial advisor services. This role is based in New York and requires 2+ years of experience as a risk/supervisory manager or a substantive leadership role in finance.

Responsibilities

• Help drive initiatives related to sales supervision, compliance, and business risk, including implementation and education review
• 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, providing input to policy development and supporting communication of policies
• Serve as a point of contact for issues that cannot be resolved, escalating issues as required

Requirements

• Series 7, 8 (or 66/63/65), and insurance (optional)
• Track record of leadership
• Great communication skills, especially in handling challenging situations
• Ability to work independently with sound judgment
• Adaptable to changing market conditions, technology, and business needs
• Curiosity to explore how AI can improve workflow processes

Qualifications

• Expertise in risk and supervision
• Experience in a leadership role in finance
• Knowledge of regulatory compliance and business risk management
• Strong communication and problem-solving skills

Skills

• Leadership skills
• Communication skills
• Problem-solving skills
• Adaptability
• Curiosity about AI and its applications

Benefits

The position offers a competitive salary range of USD 140,000 to USD 180,000 per annum, with the final salary determined by relevant factors such as experience, qualifications, education, location, and skill level. Additional variable compensation or awards may be provided. UBS also offers a range of employee benefits, including disability inclusion and reasonable accommodations for candidates with disabilities.

Pay

The indicative gross base salary range for this role is USD 140,000 to USD 180,000 per annum.

Schedule

This is a full-time position based in New York.

Contact Information

To learn more about UBS and our commitment to diversity and inclusion, visit ubs.com/careers. For reasonable accommodation requests during the recruitment process, please contact us.

Disclaimer

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual, supporting diverse cultures, perspectives, skills, and experiences within our workforce.