UBS Financial Services Supervisory Officer in Weehawken, New Jersey
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:
• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• provide training on supervisory tools, compliance policies and operational procedures
• manage the review of various supervision processes, including supervising production and non-production activities
• support the Branch Review and Group Internal Audit processes, visiting branches, working on action plans for those with failed audits and examining regional audit results to develop action plans
• 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 locally, and escalate issues as required
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. 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.
You’ll be joining a fast-growing team within the Wealth Management business, working in Weehawken, NJ. We are constantly innovating as we drive the creation of a strategic business that touches nearly every area within Wealth Management. You have the opportunity to join us as we build from the ground up, and as a Supervisory Officer, you'll play an important role in helping deliver this new experience to our Wealth Management clients and the advisors who serve them.
• ideally 8 – 10 years of experience as a compliance / supervisory manager, or other substantive leadership role within the financial services industry
• track record of leadership, mentoring and coaching success
• great communicator (you know how to handle challenging situations)
• reliable when working independently, with sound judgement for when to escalate issues
• quickly adaptable to changing market conditions, technology and business needs
• bachelor’s degree or equivalent in business administration, finance or a related field
• series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
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?
Job Reference #: 183645BR
Business Divisions: Global Wealth Management
Title: Supervisory Officer
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Compliance