Supervisory Officer

Job Reference # 330262

City Houston

Job Type Full Time

Are you an expert on risk and supervision? Do you know how to make the right call in challenging situations?

• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• manage review of various supervision processes and procedures
• serve as a point of contact regarding matters that need attention or on issues that cannot be resolved, and elevate issues as required

We are open to applications from career returners. Find out more about our program on

You’ll be working as part of Wealth Management Americas in Houston Area. We help high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisors who deliver products and services specifically designed for them. You’ll be a member of the Central Region, reporting directly to the Market Supervisory Officer and working closely with the management team.

• ideally 2+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
• series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
• track record of leadership, mentoring and coaching success
• great communicator comfortable address difficult conversations
• reliable when working independently, with sound judgment relating to issue escalation
• quickly adaptable to changing market situations, technology and business needs

UBS is the world’s largest and the 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.

We have a presence in all major financial centers in more than 50 countries.

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey.

And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.