United States - New Jersey

Compliance

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 someone like you to:
• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• perform delegated branch operational risk and supervisory functions (e.g. self-audit, active account reviews, non-operational client issues and complaints, etc.)
• ensure adherence to firm and regulatory guidelines related to client complaint reporting
• monitor client accounts and transactions and oversee as delegated employee related activity (e.g. outside accounts, political contributions)
• 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

Job Reference #

335329BR

City

Weehawken

Job Type

Full Time

Your team

You’ll be part of the Wealth Advice Center Supervision team and working with Financial Advisors and Client Service Associates 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 Market Supervisory Officer and working closely with the Market Head.

Your expertise

• ideally, 2+ 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, 8 (or 9/10), 66 (or 63/65); insurance a plus
• a track record of leadership, mentoring and coaching success
• analytical, with the ability to provide practical solutions for minimizing risk
• strong communicator and able 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 a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Salary information

The indicative gross base salary range as a full-time equivalent role:
• United States - New Jersey - Weehawken min USD 105000 - max USD 130000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.

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. And we use artificial intelligence (AI) to work smarter and more efficiently. 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.