Market Supervisory Officer - Los Angeles, United States - UBS

UBS
UBS
Verified Company
Los Angeles, United States

1 month ago

Mark Lane

Posted by:

Mark Lane

beBee recruiter
Description
United States - California

  • Business management, administration and support
  • Global Wealth Management

Job Reference #

BR

City

  • Los Angeles

Job Type

  • Full Time

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
- 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

  • You'll be working as part of Wealth Management Americas. We help high net worth and ultrahigh 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 Market Team, reporting directly to the Divisional Supervisory Officer and working closely with the Market Executive. You'll lead a team of supervisory officers across your market, acting as a coach on all aspects of the role.

Your expertise
- ideally 3-5 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
- series 7, 8, 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 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

Join us

  • At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like parttime, jobsharing and hybrid (office and home) working. Our purposeled 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.
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