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 expedite as required

Full Time

338682

Bellevue, Seattle

You’ll be working as part of Wealth Management Americas. You’ll be a member of the Market Team, 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.

• 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 (and you know how to handle challenging situations)
• reliable when working independently, with sound judgment for when to elevate issues
• quickly adaptable to changing market situations, technology and business needs

The indicative gross base salary range as a full-time equivalent role:

• United States - Washington - Seattle min USD 140000 - max USD 180000
• United States - Washington - Bellevue min USD 140000 - max USD 180000 /annum

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.