UBS Financial Services Supervisory Officer in San Francisco, California
United States - California
Compliance, Management and Business Support
Global Wealth Management
Job Reference #:
Are you an expert on risk and supervision? Do you know how to make the right call in challenging situations?
We’re looking for a Supervisory Officer to:
•\tdrive initiatives related to sales supervision, compliance and business risk, including implementation and education
•\tmanage all hiring and personnel decisions, coach the supervisory team and provide training on supervisory tools, new compliance bulletins and operational procedures
•\tmanage review of various supervision processes
•\tsupport branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
•\tpartner with Compliance, including providing input to policy and supporting communication of policies
•\tserve as a point of contact for issues that cannot be resolved, and escalate issues as required
You’ll be working as part of Private Wealth Management Americas. We help high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisors who deliver products and services specifically designed for them.
•\tideally 5 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
•\tseries 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
•\ttrack record of leadership, mentoring and coaching success
•\tgreat communicator (and you know how to handle challenging situations)
•\treliable when working independently, with sound judgment for when to escalate issues
•\tquickly adaptable to changing market situations, technology and business needs
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
Disclaimer / Policy Statements:
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.