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Supervisory Officer
| Company | UBS |
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| Location | Chicago, IL, USA |
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| Salary | $130000 – $165000 |
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| Type | Full-Time |
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| Degrees | |
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| Experience Level | Senior |
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Requirements
- 5 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 and Series 3 a plus
- A track record of leadership, mentoring and coaching success
Responsibilities
- Drive initiatives related to sales supervision, compliance and business risk, including implementation and education
- 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
Preferred Qualifications
- A 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
