Supervisory Officer

Do you know how to keep an eye out for and avoid risk? Are you skilled at assessing processes and making improvements? We’re looking for someone like that who can:
• Regularly evaluate and improve existing processes, put new processes (including training) into action and systematically track these
• Develop metrics to evaluate and mitigate risk
• Make sure that legal, compliance and regulatory requirements are observed, including Sarbanes-Oxley and KYC (Know-Your-Client)
• Resolve non-operational client issues and complaints in accordance with internal policies and external regulatory requirements
• Act as an interface between regional markets and the central market and sales management units

Detailed salary information:
• New York: the salary range for this role is $100000 to $130000
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.

Your team

You’ll be working in the Miami (R2) Branch. Our role is to manage, preserve and grow the wealth of our clients. Our team offers solutions for managing wealth and planning for succession

Your expertise

• Ideally 5 years of relevant industry experience, including similar positions in a financial institution, preferably Compliance or Control Supervisory background or consulting firm background
• Series 7 and 66 required. Series 9,10 required. 3 and Insurance licenses preferred
• Excellent written and verbal communication skills
• Team oriented, while able to complete tasks independently
• Ability to interact and work closely with business stakeholders at all levels of seniority
• Self-motivated with the ability to work independently
• Possess strong analytical thinking and critical reasoning skills
• Ensure high quality delivery of all output
• Strong understanding of Broker/Dealer and/or Bank Control Framework

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.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

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.