Strategic Risk & Compliance Supervisor

UBS; Birmingham; On-site; GBP 65,000 - 90,000; Full time

Job summary

UBS in Birmingham is seeking a Supervisory Officer to lead risk and supervision initiatives within the UK branch network. The role focuses on sales supervision, compliance, and business risk education while partnering with Compliance on policy development and communications.

Ideal candidates bring 2+ years in risk/supervisory roles at financial institutions, industry licenses (Series 7/9/10/66), and a proven track record of leadership and clear communication.

Qualifications

• 2+ years of experience as a risk/supervisory manager or similar leadership role in a financial institution.
• Licenses such as Series 7, 9/10, 66 (or 63/65) are preferred; insurance a plus.

Responsibilities

• 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 elevate issues as required.

Skills

Risk supervision

Leadership

Compliance knowledge

Communication

Independent work

Adaptability

AI in workflows

Financial licenses (Series 7/9/10/66)

Job description

UBS in Birmingham is seeking a Supervisory Officer to lead risk and supervision initiatives within the UK branch network. The role focuses on sales supervision, compliance, and business risk education while partnering with Compliance on policy development and communications.

Ideal candidates bring 2+ years in risk/supervisory roles at financial institutions, industry licenses (Series 7/9/10/66), and a proven track record of leadership and clear communication.