Control Officer - Scottsdale

UBS is a leading global financial services firm. As part of Global Wealth Management & Business Banking, UBS Financial Services Inc. provides customized finance and investment solutions to its international clientele, ranging from wealthy individuals to institutional investors to multinational corporations. We are one of the world's leading wealth management businesses, the premier Swiss retail bank and one of the top private client businesses in the USA. By combining your talent with our strength, we can achieve great results. Your job, as a Control Officer is to: -Manage compliance and oversee the branch operational risk & audit process-Manage client issues and complaints on suitability matters-Communicate and implement firm risk management guidelines and policies-Ensure compliance with legal and regulatory requirements, including Sarbanes-Oxley-Act as client advocate by monitoring client accounts & transactions-Oversee employee related activity (e.g. outside accounts, political contributions) -Train New FAs regarding risk management practices-Coach and educate support staff on Client Experience best practices and Suitability-Ensure branch adherence to complete required compliance modules-Review & approve correspondence and communications with the public Qualifications: Licenses:  Series 3, 7, 66, 9, 10, and Insurance. We can offer a stimulating working environment, a culture of mutual respect and commitment to maintaining the highest ethical standards.  This position carries an attractive performance-related compensation and the support of our global experts at all times. If you would like to work for a global organization where individual contribution counts and where your ambitions and abilities can make a difference, please apply for this position.  It starts with you. UBS is an equal opportunity employer.  We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce. Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker/dealer offering securities, trading, brokerage, and related products and services in the U.S. UBS Financial Services Inc. is a subsidiary of UBS AG.   Contact Details UBS Financial Services Inc. 36383BR           http://www.ubs.com/