Market Supervisory Officer
Apply NowCompany: UBS
Location: Seattle, WA 98115
Description:
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 market supervisory officer to:
drive initiatives related to sales supervision, compliance and business risk, including implementation and education
coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
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 on all compliance matters, including providing input to policy and supporting communication of policies
partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits.
examine market audit results and develop action plans based on trends.
coach and manage the use of the Branch Self-Assessment process by branches
address systemic supervisory and emerging business issues, escalating as required
develop and implement training on supervisory tools, new compliance bulletins and operational procedures
Detailed salary information :
Seattle: the salary range for this role is $110000 to $157000
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.
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.
Your team
A Market Supervisory Officer partners with the market team to drive proactive risk management and supervision within the markets. They lead a team of Supervisory Officers across the market, responsible for sourcing and hiring, acting as a coach on all aspects of the role, managing staff and decision-making processes and procedures, and ensuring appropriate level of understanding of all supervisory tasks as it relates to supervision
Your expertise
You have:
ideally 5-8 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
a track record of leadership, mentoring and coaching success
mandarin and/or Cantonese language skills (preferred)
You are:
great communicator (and you know how to handle challenging situations)
reliable when working independently, with sound judgment for when to escalate issues
able to quickly adapt 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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Salary information
US Only: The expected salary range for this role is $110000 to $157000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see "Your role" section for detailed salary information.
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 market supervisory officer to:
drive initiatives related to sales supervision, compliance and business risk, including implementation and education
coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
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 on all compliance matters, including providing input to policy and supporting communication of policies
partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits.
examine market audit results and develop action plans based on trends.
coach and manage the use of the Branch Self-Assessment process by branches
address systemic supervisory and emerging business issues, escalating as required
develop and implement training on supervisory tools, new compliance bulletins and operational procedures
Detailed salary information :
Seattle: the salary range for this role is $110000 to $157000
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.
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.
Your team
A Market Supervisory Officer partners with the market team to drive proactive risk management and supervision within the markets. They lead a team of Supervisory Officers across the market, responsible for sourcing and hiring, acting as a coach on all aspects of the role, managing staff and decision-making processes and procedures, and ensuring appropriate level of understanding of all supervisory tasks as it relates to supervision
Your expertise
You have:
ideally 5-8 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
a track record of leadership, mentoring and coaching success
mandarin and/or Cantonese language skills (preferred)
You are:
great communicator (and you know how to handle challenging situations)
reliable when working independently, with sound judgment for when to escalate issues
able to quickly adapt 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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Salary information
US Only: The expected salary range for this role is $110000 to $157000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see "Your role" section for detailed salary information.