Salinda K. Nowell
Director Supervisory Officer @UBS
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WORK HISTORY
Director Supervisory Officer @UBS
As a Supervisory Officer, I am primarily responsible for overseeing sales supervision, ensuring compliance, and managing business risks for multiple branches (Corpus Christi, Dallas and Tyler) within the Texas Central Market. This involves implementing and educating our teams on new compliance bulletins, operational procedures, and the use of supervisory tools.In my role, I work extensively with branch management, firm compliance leadership, corporate branch review, and internal audit teams to ensure that both regulatory requirements and firm policies are consistently met. I also approve workflows and best interest processes, as well as manage client onboarding, PKRs for high to low-risk ratings, trade reviews, managed money quarterly reviews, concentration reviews, and vulnerable client reviews.Additionally, I am responsible for reporting customer complaints and collaborating with our legal team and other partners to resolve these issues promptly and effectively.
EDUCATION
Dallas Baptist University
(MBA)
The University of Texas at Dallas
Bachelor of Science (BS)
ABOUT SALINDA K. NOWELL
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