Supervisory Officer

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

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 someone like this 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 escape issues as required

Job Type

Full Time

Job Reference #

345030BR

City

New York

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 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, 8 (or 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 escalation 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.

Salary information

The indicative gross base salary range as a full‑time equivalent role:

• United States - New York - New York min USD 140000 - max USD 180000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level.

Benefits

• UBS offers a range of competitive benefits
• We may, at our sole discretion, provide additional variable compensation or awards

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.

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.