UBS Financial Services Market Supervisory Officer in Houston, Texas
Job Reference #: 141757BR
Job Type: Full Time
Your Role: Are you risk averse, but risk aware? Do you enjoy building a culture of compliance? We are looking for someone like this to: – assume a leadership role in the Region on implementation of and education on supervisory, compliance and risk initiatives to effectively manage risk while facilitating business and providing excellent client service – 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 – perform delegated supervisory functions and oversee the branch operational risk and audit process for the entire market – manage the Supervisory Officers and make recommendations in hiring employees – develop and implement training on supervisory tools, new compliance bulletins and operational procedures
Your Team: We are a collaborative management team supporting our Financial Advisors as they deliver world class Wealth Management services to our clients. Together we run a Market focused on mitigating risk, managing the business and supporting our associates and our community.
Your Experience and Skills: You have:
– a university degree
– 8+ years of experience in the financial services industry, preferably in risk management
– your FINRA Registrations: Series 7, 66, 8 or 9 and 10 - Series 3 (preferred)
What We Offer: Together. That’s how we do things. We offer talented people around the world a supportive, stimulating and diverse working environment. We’ll value your passion and commitment. And reward your performance.
Why UBS? Video
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.