Supervisory Officer

Job Reference #

330534

Phoenix

Full Time

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

• 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 elevate issues as required

You'll be working as part of Wealth Management Americas, assisting high net worth and ultra‑high net worth individuals and families with advisory services. You’ll report directly to the Market Supervisory Officer and work closely with the management team.

• Ideally 2+ 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 knowledge a plus
• Track record of leadership, mentoring and coaching success
• Great communicator comfortable addressing difficult conversations
• Reliable when working independently, with sound judgment for when to elevate issues
• Quickly adaptable to changing market situations, technology and business needs

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 breadth of expertise set us apart from our competitors.

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

At UBS, we know that our people, with their diverse skills, experiences and backgrounds, drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities for growth and flexible working options where possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey.

We also harness artificial intelligence (AI) to work smarter and more efficiently. Collaboration is at the heart of everything we do because together, we’re more than ourselves.

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

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.