Description

Job Reference #
328407BR

Business Divisions
Global Wealth Management

Your role
Are you a strong communicator with a background in KYC and client onboarding? Are you passionate about supporting a strong risk and control culture by ensuring high standards in client due diligence, onboarding, and periodic KYC Reviews (PKR), in line with internal policies and industry best practices?

We're looking for a Centralized 9/10 Account Approver to:

• execute the Know Your Customer (KYC) activities, ad-hoc regulatory requirement reports, and remediation's of the branch. This includes delivering the Compliance program for anti-money laundering, anti-bribery, sanctions, Cross Border, Fiscal Compliance and related disciplines
• identify key risks in the current client lifecycle management process and recommend strategies to for future state design to mitigate AML risks while operationalizing efficiency levers and reduce account opening lead times
• conduct initial analysis of new account EDD packages, review required documentation in accordance with CUSO policy and procedures
• maintain subject matter expertise of applicable anti-money laundering laws and regulations and support Front Office by providing guidance on KYC compliance requirements
• translate AML policy for the Front Office to understand and execute, and ensure KYC standard/policy is consistently applied
• ensure client vetting data and document processing comply with regulations, guidelines, standards and UBS policies for all new accounts
• complete of Final Due Diligence Checklist and negative news searches

Detailed salary information:
• Weehawken, Raleigh, Nashville: the salary range for this role is $65000 to $85000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Title
Centralized 9/10 Account Approver

City
Nashville, Raleigh, Weehawken

Job Type
Full Time

Country / State
United States - New Jersey, United States - North Carolina, United States - Tennessee

Function Category
Operations

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.

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 joining our KYC Operations team, which focuses on driving strategy, implementation, and oversight for the KYC program within the WM US line of business. This role is based out of Weehawken, Nashville, and Raleigh. We work collaboratively with our business partners, WM field leadership, and Second Line Compliance partners to ensure that our Financial Advisors serve their clients in accordance with regulatory requirements.

Your expertise
• ideally 2 or more years of AML/Compliance, Risk Management and/or legal background
• bachelor or international equivalent required; advanced degree a plus
• 9/10 series license required
• experience in performing screening for individuals and entities
• strong understanding of AML/ OFAC regulations; consulting background is a plus
• strong understanding of Wealth Management, broker dealer products, and various banking products and services
• result-oriented and assertive (you don't shy away from challenging situations)
• ability to effectively handle a fast paced environment and successfully meet established deadline requirements
• ability to interact and work closely with business stakeholders at all levels of seniority

About us
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.

How we hire
We may request you to complete one or more assessments during the application process. Learn more

Salary information
US Only: The expected salary range for this role is $65000 to $85000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.



Requisition #: 328407BR

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