Supervisory Officer

UBS; South Portland (ME); On-site; USD 10,000 - 60,000; Full time

Job summary

A leading global wealth management firm is seeking a Supervisory Officer in the Portland/Boston area. This role involves driving sales supervision initiatives, managing compliance processes, and serving as a key point of contact for unresolved issues. The ideal candidate has over 2 years of experience in risk management and holds relevant certifications. Join a culture that values diversity and collaboration.

Qualifications

• 2+ years of experience as a risk/supervisory manager or in a leadership role.
• Series 7, 8 (or 9/10), and 66 (or 63/65); insurance is a plus.
• Proven track record of leadership, mentoring, and coaching.

Responsibilities

• Drive initiatives related to sales supervision and compliance.
• Manage review of supervision processes and procedures.
• Serve as a point of contact for unresolved issues.

Skills

Risk management

Leadership

Communication

Adaptability

Job description

Job Reference #

326708BR

City

Boston, Portland

Job Type

Full Time

Your role

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 to:

• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• manage review of various supervision processes and procedures
• serve as a point of contact regarding matters that need attention or on issues that cannot be resolved, and escalate issues as required

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Your team

You’ll be working as part of Wealth Management Americas in the Portland or Boston Area. 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 Greater New England Market, reporting directly to the Market Supervisory Officer and working closely with the management team.

Your expertise

• 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, mentoring and coaching success
• great communicator comfortable addressing difficult conversations
• reliable when working independently, with sound judgment relating to issue escalation
• quickly adaptable to changing market situations, technology and business needs

About us

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

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.

Equal Opportunity Employer

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.