Supervisory Officer, Wealth Advice Center

Your role

• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• perform delegated branch operational risk and supervisory functions (e.g. self-audit, active account reviews, non-operational client issues and complaints, etc.)
• ensure adherence to firm and regulatory guidelines related to client complaint reporting
• monitor client accounts and transactions and oversee delegated employee related activity (e.g. outside accounts, political contributions)
• 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 escalate issues as required

• ideally, 2+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
• experience in risk management, risk control, audit or compliance
• Series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
• a track record of leadership, mentoring and coaching success
• analytical, with the ability to provide practical solutions for minimizing risk
• strong communicator and able 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

Full Time

335329

Weehawken

You’ll be part of the Wealth Advice Center Supervision team and working with Financial Advisors and Client Service Associates within the Wealth Advice Center. You will play a critical role in ensuring operational and supervision policy and procedure adherence and understanding. We are a collaborative management team supporting our Financial Advisors as they deliver world class Wealth Management services to our clients.

Together we run a business focused on mitigating risk, managing the business and supporting our associates and our community. You’ll be a member of the Market Team, reporting directly to the Market Supervisory Officer and working closely with the Market Head.

United States
- New Jersey
- Weehawken min USD 105000 - max USD 130000 /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.