Market Supervisory Officer

Your role

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

• Manage all hiring and personnel decisions, coach the supervisory team and provide training on supervisory tools, new compliance bulletins and operational procedures.
• Manage review of various supervision processes.
• Drive initiatives related to sales supervision, compliance and business risk, including implementation and education.
• 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 escalated issues as required.

• Years of experience as a risk/supervisory manager or other substantive leadership role within 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 (and ability to handle challenging situations).
• Reliable working independently, with sound judgment for when to escalater issues.
• Quickly adaptable to changing market situations, technology and business needs.

• Job Type: Full Time
• Job Reference #: 338784
• City:
  Naples, Orlando, Tampa

You’ll be working as part of Wealth Management Americas, reporting directly to the Regional Supervisory Officer and working closely with the Market Executive. You’ll lead a team of supervisory officers across your market, acting as a coach on all aspects of the role.

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.