at UBS
Bulge Bracket Investment BanksPosted 3 days ago
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**Senior Wealth Strategy Associate**: Drive sales supervision & compliance initiatives, review processes, support branch audits, and collaborate with Compliance. 10+ years' experience required, with expertise in risk management, policy reviews, and issue escalation. Proficient in financial regulations, risk assessment, and MS Office.
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Full Job Description
| 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 Supervisory Officer who can: help drive initiatives related to sales supervision, compliance and business risk, including implementation and education review 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 | Show more Supervisory Officer |
