About this role
UBS, a leading global wealth manager and the leading universal bank in Switzerland, is hiring a Supervisory Officer for its Global Wealth Management Compliance team in New York, United States. This is a full-time role on the Manhattan Market Compliance Team, with an indicative base salary range of USD 105,000 - 130,000.
The role supports high net worth and ultra-high net worth clients served by UBS financial advisors. Key responsibilities:
- Help drive initiatives related to sales supervision, compliance and business risk, including implementation and education
- Review various supervision processes
- Support branches in Branch Review and Group Internal Audit processes, including branch visits and action plans for branches with failed audits
- Partner with Compliance, providing input to policy and supporting communication of policies
- Serve as a point of contact for unresolved issues, escalating as required
Requirements: ideally 2+ years of experience as a risk/supervisory manager or in another substantive leadership role at a leading financial institution; Series 7, 9/10, 66 (or 63/65) licenses, insurance license a plus; track record of leadership; strong communication skills, especially in challenging situations; sound independent judgment; adaptability to changing market, technology and business needs.
UBS is headquartered in Zurich, Switzerland, and operates in more than 50 markets globally.