at UBS
Bulge Bracket Investment BanksPosted 3 days ago
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**Wealth Management Process & Quality Specialist**: Drive sales supervision, compliance, and business risk initiatives. Review supervision processes, support branch audits, and partner with compliance. Serve as escalation point for unresolved issues. Requires risk management expertise, quality control skills, and proven decision-making in challenging scenarios. Experience in wealth management, risk supervision, and compliance.
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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 |
