What are the responsibilities and job description for the KYC Analyst position at UBS?
Job Reference #
307601BR
Job Type
Full Time
Your role
Are you a strong communicator? Are you well organized and able to conduct research and analysis efficiently on your own? Do you have an interest in the financial services sector? Willing to learn about the firm and how its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices?
We’re looking for a KYC analyst to:
You'll be joining our Business AML Organization (BAMLO) team, which focuses on driving strategy, implementation, and oversight for the AML program within the US Wealth Management line of business. This role is based out of Weehawken, Nashville, and Miami. 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
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
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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.
307601BR
Job Type
Full Time
Your role
Are you a strong communicator? Are you well organized and able to conduct research and analysis efficiently on your own? Do you have an interest in the financial services sector? Willing to learn about the firm and how its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices?
We’re looking for a KYC analyst 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 Anti-Money Laundering (AML) risks while operationalizing efficiency levers and reduce account opening lead times
- conduct initial analysis of new account enhanced due diligence packages, review required documentation in accordance with 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
You'll be joining our Business AML Organization (BAMLO) team, which focuses on driving strategy, implementation, and oversight for the AML program within the US Wealth Management line of business. This role is based out of Weehawken, Nashville, and Miami. 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
- bachelor or international equivalent required; advanced degree a plus
- understanding of AML/ OFAC regulations is a plus
- banking or consulting background is a plus
- 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
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
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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.
