Senior Risk & Supervisory Leader – Wealth Management

UBS; New York (NY); Sur place; USD 140 000 - 180 000; Plein temps

Avantages offerts par ce poste

Competitive benefits

Variable compensation

Résumé du poste

UBS in New York seeks a risk and supervision lead to drive sales supervision, compliance and business risk initiatives. You will review supervision processes, support Branch Review and Group Internal Audit, and partner with Compliance to shape policy.

The role requires strong leadership, exceptional communication, and independent judgment. You will visit branches, help develop action plans for audits, and act as a point of contact for unresolved issues.

Qualifications

• Ideally 2+ years of experience as a risk/supervisory manager or similar leadership role at a leading financial institution.
• Series 7 or 8 (or 9/10); Series 66 (or 63/65) is a plus.
• Demonstrated leadership track record and strong communication skills.
• Able to handle challenging situations with sound judgment and escalation when needed.
• Curiosity about applying AI to improve workflows, validated against policies and risk standards.

Responsabilités

• Drive initiatives related to sales supervision, compliance and business risk, including implementation and education.
• Review various supervision processes and ensure effectiveness.
• Support branches in Branch Review and Group Internal Audit, visiting branches and developing action plans for failed audits.
• Partner with Compliance to input policy and communicate policies.
• Serve as an escalation point for unresolved issues and manage required escapes.

Connaissances

Risk supervision

Leadership

Series 7/8

Communication

Judgment

AI curiosity

Description du poste

UBS in New York seeks a risk and supervision lead to drive sales supervision, compliance and business risk initiatives. You will review supervision processes, support Branch Review and Group Internal Audit, and partner with Compliance to shape policy.

The role requires strong leadership, exceptional communication, and independent judgment. You will visit branches, help develop action plans for audits, and act as a point of contact for unresolved issues.