Supervisory Officer, UBS Wealth Advice Center

You’ll drive initiatives related to sales supervision, compliance, and business risk, including implementation and education for teams.

Responsibilities

• Perform delegated branch operational risk and supervisory functions (e.g., self-audit, active account reviews, non-operational client issues and complaints).
• Ensure adherence to firm and regulatory guidelines related to client complaint reporting.
• Monitor client accounts and transactions and oversee delegated employee-related activity (e.g., outside accounts, political contributions).
• 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 as required.

About the team

You’ll be part of the Weehawken-based Wealth Advice Center Supervision team, collaborating with Financial Advisors and Client Service Associates. Your role is critical in ensuring operational and supervisory policy adherence and understanding. The team is collaborative, focused on mitigating risk, managing the business, and supporting associates and the community. You’ll report directly to the Market Supervisory Officer and work closely with the Market Head.

Requirements

• 2+ years of experience as a risk/supervisory manager or other substantive leadership role within a leading financial institution.
• Experience in risk management, risk control, audit, or compliance.
• Series 7, 8 (or 9/10), 66 (or 63/65) licenses; insurance license a plus.
• Proven leadership, mentoring, and coaching success.
• Analytical skills with the ability to provide practical solutions for minimizing risk.
• Strong communication skills and ability to handle challenging situations.
• Reliable when working independently, with sound judgment for escalating issues.
• Adaptable to changing market situations, technology, and business needs.
• Curiosity about how AI can improve workflows, with a focus on validating outputs and aligning with policies, risk standards, and ethical use.

About Us

UBS is a leading global wealth manager and Switzerland’s leading universal bank, with diversified asset management and focused investment banking capabilities. Headquartered in Zurich, UBS operates in over 50 markets worldwide. Collaboration is central to our culture, and we use AI to work smarter and more efficiently.

Pay

The indicative gross base salary range for this full-time role in Weehawken, NJ is USD 105,000 – 130,000 per year. The final salary will be determined based on factors such as experience, qualifications, education, location, and skill level. UBS offers competitive benefits, and additional variable compensation or awards may be provided at the company’s discretion.

Benefits

For details on UBS employee benefits, visit ubs.com/employee-benefits.