Supervisory Officer

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

Key Responsibilities

Are you an expert on risk and supervision? Do you know how to make the right call in challenging situations?

We're looking for a Supervisory Officer who can:

• help 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

Job Type

Full Time

Job Reference #

343979BR

City

Birmingham

The team

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. You’ll be a member of the Manhattan Market Compliance Team.

Your Skills And Experience

• ideally 2+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
• series 7, 9/10, 66 (or 63/65); insurance a plus
• track record of leadership
• great communicator (and you know how to handle challenging situations)
• reliable when working independently, with sound judgment for when to elevate issues
• quickly adaptable to changing market situations, technology and business needs
• you’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

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. Want to find out more? Visit ubs.com/careers.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA

UBS Recruiting

Disclaimer / Policy statements

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