Home Office Supervisory Officer

Your Role

• Act as a compliance and operational risk control subject‑matter expert for a centralized group supervising daily trade activity, supporting them in managing risk.
• Perform first‑line defence activities in relation to consequential risks.
• Ensure risk frameworks are designed well and operate effectively.
• Deliver monthly reports that shed light on risk profiles of market areas in reference to daily trade reviews.
• Provide business management with controls, tools, frameworks, information and insights required to manage risk.
• Enforce the employee conduct framework to drive expected behaviour.

Job Type: Full Time

Job Reference #: 328084

City:
Nashville, Raleigh, Weehawken

We are a collaborative central team supporting our Markets as they deliver world‑class wealth‑management services to our internal and external clients. Together we run a centrally focused team on mitigating risk, managing the business and supporting our associates and community.

• Bachelor's degree.
• Ideally 3+ years of experience within the financial industry in the areas of risk management, risk control, audit, or compliance/supervision.
• FINRA Series 7, 66, 9 & 10 (or equivalent) required.
• FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred.
• Analytical, with the ability to provide practical solutions for minimizing risk.
• Result‑oriented and assertive; you don’t shy away from challenging situations.

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.

US only:
The expected salary range for this role is $90,000 – $120,000, based on factors including experience, qualifications, education, location and skill level. The role may also be eligible for discretionary incentive compensation.

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.

Not Applicable

Full‑time

Legal, Finance, and Accounting/Auditing

Banking, Financial Services, and Investment Banking