Your role
A Supervisory Officer works with the market team to drive proactive risk management and supervision within the
markets.
• Support initiatives related to sales supervision, compliance and business risk, including implementation and education
• Develop metrics to evaluate and mitigate risk, improve existing processes, put new processes (including training) into action and systematically track these
• Perform delegated supervisory functions and oversee the branch operational risk and audit process
• Educate employees on compliance policies, related procedures and UBS group operational risk framework
• Compliance with the relevant internal and external regulations
• Ensure successful branch audits and identify potential risks
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• Develop and implement training on supervisory tools, new compliance bulletins and operational procedures
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
Scope and complexity of role: Associate Directors act as experts in their area and usually work on products and/or
processes of low to medium complexity. They may provide support to one manager or for a certain area or location. They prioritize their own time to meet agreed targets and objectives. They may also be involved in coordinating activities that extend beyond their own area of expertise. They deal with client groups of low to medium complexity.
Autonomy: Associate Directors execute their own duties independently; however, with some supervision and oversight.
Organizational impact: Associate Directors proactively contribute to changes in processes and procedures and to
continuous productivity gains that impact their team and areas beyond
Your expertise
• Minimum of 5 years of relevant industry experience, including similar positions in a financial institution, preferably a background in International Compliance or Control Supervisory.
• Series 7,66,9,10 and Series 3
• 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
• Spanish language skills (preferred)
About us
UBS is the world's largest and 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.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?