Senior Risk & Supervisory Leader – Wealth Management

UBS; Chicago (IL); On-site; USD 105,000 - 130,000; Full time

Job summary

UBS Midwest Market Team seeks an experienced risk/supervisory leader to guide supervision, compliance and business risk initiatives. The role involves reviewing processes, supporting Branch Review and Group Internal Audit activities, and partnering with Compliance to ensure policy communication.

Ideal candidates have multiple licenses, strong leadership, and a proven ability to navigate challenging situations while adapting to evolving technology and market conditions.

Qualifications

• Ideally 3+ 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.
• Proven track record of leadership and strong communication in challenging situations.
• Reliable when working independently, with sound judgment for when to elevate issues.
• Quickly adaptable to changing market situations, technology and business needs.
• Curious to explore how AI can improve how we build, deliver, and optimize workflows with policy alignment.

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, 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 management

Leadership

Communication

Independent work

Judgment

Adaptability

AI insight

Job description

UBS Midwest Market Team seeks an experienced risk/supervisory leader to guide supervision, compliance and business risk initiatives. The role involves reviewing processes, supporting Branch Review and Group Internal Audit activities, and partnering with Compliance to ensure policy communication.

Ideal candidates have multiple licenses, strong leadership, and a proven ability to navigate challenging situations while adapting to evolving technology and market conditions.