Home Office Supervisory Officer

Join to apply for the Home Office Supervisory Officer role at UBS
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• 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-of-defense activities in relation to consequential risks
• ensure risk frameworks are designed well and operating 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 employee conduct framework to drive expected behavior

• 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
• analytic, with the ability to provide practical solutions for minimizing risk
• result-oriented and assertive (you don’t shy away from challenging situations)

Weehawken: the salary range for this role is $90,000 to $120,000. The expected salary range for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit

Full Time

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 our community.

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. Want to find out more? Visit

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. We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.