Description

Job Reference #
337603BR

Business Divisions
Global Wealth Management

Your role
Serves as the Administrative Officer for National Sales Strategy, Field Leader, and Financial Advisor Development & Recruiting. Leads the due diligence overview and governance for Financial Advisor (FA) recruit hires, ensuring consistent risk management, documentation, and approvals across all markets and regions.

Key Responsibilities
• Own the end-to-end FA recruit due diligence framework (intake, triage, risk rating, documentation, and approvals).
• Lead governance cadence for recruit hiring decisions (committee prep, escalation pathways, exception management, and final sign-offs).
• Perform/oversee reviews of regulatory and employment history (e.g., CRD/U4-U5, disclosures, complaints, investigations, litigation, outside business activities, media/reputation checks).
• Advise recruiting and field leadership on risk mitigations and hiring conditions (e.g., supervision plans, onboarding controls, compensation/contract guardrails).
• Maintain centralized tracking and reporting for the recruit pipeline (cycle times, risk themes, approvals, exceptions, and outcomes).
• Ensure record retention, data privacy, and evidence standards are met for all due diligence artifacts and approvals.
• Deliver training and communications to recruiters, managers, and field leaders on due diligence requirements and governance expectations.
• Establish and run a governance cadence: agenda, pre-reads, minutes, decision logs, and follow-ups for recruiting risk reviews and approval forums.
• Coordinate required reviews (e.g., background/CRD, litigation/disclosures, reputational/adverse media, conflicts, outside business activities, compensation/deal terms) and document outcomes.
• Define and maintain policies, controls, checklists, playbooks, and standardized templates to ensure consistent, repeatable, audit-ready decisioning.
• Partner with Legal, Compliance, Risk, HR, and Recruiting leaders to route issues, obtain approvals, and manage escalations for higher-risk cases.
• Identify process gaps and implement improvements (templates, automation, training, and communications) to reduce friction while strengthening controls.
• Maintain records retention discipline and readiness for internal/external reviews; support audits and retrospective case reviews as needed.

Title
Administrative Officer

City
Chicago

Job Type
Full Time

Country / State
United States - Illinois

Function Category
Business development, Management and Business Support

Join us
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.

Contact Details
UBS Business Solutions SA
UBS Recruiting

Disclaimer / Policy statements
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.

Your team
• You'll be working in Chicago with the National Sales Strategy, Field Leader, and Financial Advisor Development & Recruiting team.
• Maintain consistent, proactive communication with managers and the regions.
• Support strong manager relationships.
• Support the field with successful deal execution.

Your expertise
<• 8+ years in risk, compliance, supervision, operations, or recruiting controls within Wealth Management/Financial Services.
• Strong judgment, discretion, and ability to influence senior stakeholders in time-sensitive hiring decisions.
• Excellent program management, documentation, and executive communication skills; comfort with metrics and dashboards.
• Significant leadership experience within wealth management, advisor strategy, or a closely related field
• Deep understanding of financial advisor business economics, compensation structures, and lifecycle management
• Leadership approach aligned with UBS Pillars, Principles and Behaviors and the UBS House View on Leadership

About us
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That's why we place collaboration at the heart of everything we do. Because together, we're more than ourselves. Want to find out more? Visit ubs.com/careers.

Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Salary information
The indicative gross base salary range as a full-time equivalent role:
• United States - Illinois - Chicago min USD 250000 - max USD 300000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.



Requisition #: 337603BR

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