Transaction Monitoring Affiliate Oversight Financial Crime Prevention

Job Reference #
301320BR

Job Type
Full Time

Your role
Do you want to have a leadership role in the preventing criminals and terrorists from abusing the financial and legislative systems? Are you the type of person who can help in the development and implementation of programs to prevent financial crimes that apply to UBS Bank USA ("BUSA"), and enhance governance and management reporting processes for key stakeholders, control committees and the Bank's Board of Directors? Are you an individual capable of undertaking a demanding yet rewarding role that entails a focus on both strategic thinking and execution?

We are looking for someone who can:

• support the BUSA Chief Anti-Money Laundering Officer in leading an Affiliate Oversight Team
• provide Affiliate oversight to ensure adherence to the provisions of Financial Crime Prevention ("FCP") covering the pillars of the BSA/AML and Sanctions program, for which BUSA receives services via service level agreements
• manage Key Performance Controls ("KPC’s")/Key Performance Instances ("KPCi’s") to assess that they are being implemented, to meaningfully evaluate them and to provide reporting to BUSA senior management and its independent Board
• conduct transaction monitoring data sampling and testing to ensure that KPC's are effective, to augment QC and QA processes
• maintain extensive documentation and reporting requirements to complete scorecards on a periodic basis to reflect appropriate affiliate oversight and to document understanding of services performed
• support various FCP projects involving BUSA and its affiliated entities
• provide expert guidance to senior executives and business managers relating to FCP risks, controls and governance
  
  

Your team
You will be working in the BUSA FCP team, within the Americas FCP function. The FCP team helps UBS in the fight against money-laundering, fraud, corruption, and terrorist financing.

Your expertise

• 4-year college degree or international equivalent
• ideally 3 years of prior AML/Sanctions compliance or related regulatory experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank or 5 years of compliance related experience at a law firm, regulatory agency, financial institution, major consulting firm or in law enforcement
• proven recent experience in audit or testing of FCP programs, including devising and executing testing plans, in the banking or securities industries is preferred
• experience handling sensitive information with a high degree of discretion with a focus on the maintenance of client privacy
• Certified Anti-Money Laundering Specialist (ACAMS) / Certified Fraud Examiner (CFE) / Certified AML and Fraud Professional (CAFP) is a plus
• able to interact with, and present to, all levels of management and regulators
• team-oriented with strong interpersonal skills, able to calmly manage a demanding, high-volume environment
• capable of prioritizing based on business demands
  
  

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

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.