UBS Financial Services Market Supervisory Officer in Houston, Texas

Job Reference #:


Business Divisions:

Wealth Management Americas

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


Market Supervisory Officer



Job Type:

Full Time

Country / State:

United States - Texas

Function Category:

Risk Control

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

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

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:

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)

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?