Are you an expert on risk and supervision? Do you know how to make the right call-in challenging situations? We’re looking for someone like you to:

• identify, evaluate and mitigate risks and proactively and formulate holistic solutions which meet the interests of the business
• manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
• partner with Compliance on all compliance matters, including providing input to policy and supporting communication of policies
• address systemic supervisory and emerging business issues, escalating as required
• ensure that procedures are in place and supervisory policies have been set up across all relevant areas at the regional and/or Business Area level
• drive initiatives related to sales supervision, compliance, and business risk, including implementation and education
• perform some delegated branch operational risk and supervisory functions (e.g. self-audit, active account reviews, non-operational client issues and complaints, etc.)
• maintains, as required, operational risk taxonomies and provides challenge of front to back control environment while considering practical solutions
• maintain, as required, operational risk taxonomies and provides challenge of front to back control environment while considering practical solutions

Detailed salary information:
• Weehawken: the salary range for this role is $145000 to $175000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Job Reference #

323043BR

City

Charlotte, Weehawken

Job Type

Full Time

Your team

You’ll be part of the Wealth Advice Center Supervision Team and working with Financial Advisors, Client Service Associates, and other members of the Leadership Team 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 Regional Supervisory Officer and working closely with the Regional Director.

Your expertise

• ideally, 7+ 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, 9/10 (or 8), 66 (or 63/65), and Life & Health Insurance licensing required
• a track record of leadership, mentoring and coaching success
• analytic, with the ability to provide practical solutions for minimizing risk
• result-oriented and assertive (you don’t shy away from challenging situations)
• a 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

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

Salary information

US Only: The expected salary range for this role is $145000 to $175000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.