Supervisory Officer

    Dallas, TX

    Job Description

    Job Reference #


    Business Divisions

    Global Wealth Management

    Your role

    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
    • develop metrics to evaluate and mitigate risk, improve existing processes, put new processes (including training) into action and systematically track these
    • coach and provide training on supervisory tools, new compliance bulletins and operational procedures
    • perform delegated supervisory functions and oversee the office operational risk and audit process
    • serve as a point of contact for issues that cannot be resolved, and escalate issues as required
    • support offices in the Branch Review and Group Internal Audit processes, visiting offices and working on action plans for those with failed audits.


    Supervisory Officer



    Job Type

    Full Time

    Country / State

    United States - Texas

    Function Category

    Business management, administration and support

    Join 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.

    Your team

    You'll be working as part of Wealth Management Americas. We help high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisers who deliver products and services specifically designed for them. You'll be a member of the TX Rockies Private Wealth Management team, reporting directly to the Market Supervisory Officer.

    Your expertise

    • ideally 5 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); Series 3 & 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 escalate issues
    • quickly adaptable to changing market situations, technology and business needs

    About us

    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?

    Your colleagues

    Posting ID: 552623213Posted: 2020-05-27