Market Supervisory Officer
UBSUnited states - texasUpdate time: August 3,2020
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 market supervisory officer to:
• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
• manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
• 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 on all compliance matters, including providing input to policy and supporting communication of policies
• Key Deliverables:
• partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits. Examine market audit results and develop action plans based on trends.
• coach and manage the use of the Branch Self-Assessment process by branches
• address systemic supervisory and emerging business issues, escalating as required
• develop and implement training on supervisory tools, new compliance bulletins and operational procedures

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