Supervisory Officer

    Austin, TX 73301
    Similar jobs pay $29.34 - $57.02

    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
    • 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
    • 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 escalate issues as required


    Supervisory Officer



    Job Type

    Full Time

    Country / State

    United States - Texas

    Function Category

    Audit, Compliance, Management Group

    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 advisors who deliver products and services specifically designed for them. You'll be a member of the Market Team, reporting directly to the Market Supervisory Officer and working closely with the Market Head. You'll lead a team of supervisory officers across your market, acting as a coach on all aspects of the role.

    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); 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: 554844013Posted: 2020-06-24