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Supervisory Officer

UBS • Tampa, FL, United States • 4d ago

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
Your team
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 Florida Market Team reporting directly to the Market Supervisory Officer.
Your expertise
• ideally 1-3 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
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

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