AML Officer- Wealth Management USA

2 weeks ago

New York, New York, United States UBS Full time
Your role
Do you want to have a leadership role in preventing criminals and terrorists from abusing the financial and legislative systems? Are you the type of person who can lead a team in the development of a program to prevent financial crimes? Are you an individual capable of undertaking a demanding yet rewarding role?

We are looking for someone who can:

  • serve as an AML Officer for Financial Services (FS), Wealth Management USA division of UBS, helping to lead and coordinate the delivery of a comprehensive AML program
  • apply strong knowledge of AML regulations to ensure compliance with the Bank Secrecy Act
  • serve as the point of contact for the AML Investigations team for the broker dealer to review SAR filings, oversee customer exits, perform customer reviews on brokerage accounts/relationships by prioritizing, identifying, researching, analyzing and providing reports and recommendations related to negative information, activity and trends
  • perform review of escalated customers, including large complex relationships and sensitive clients
  • document all pertinent facts and information, summarizing actions, findings and recommendations for next steps for Chief AML Officer
  • recommend clear and concise referrals to the Financial Intelligence Unit for further investigations and potential SAR filing
  • assist with the preparation and delivery of ad-hoc BSA/AML and OFAC compliance training based upon changes in regulatory requirements and/or emerging typologies
  • complete UBS's annual BSA/AML/OFAC training
Your team
You will be working with the FS AML Officer team within Financial Crime Prevention (FCP). The FCP team helps UBS in the fight against money-laundering, fraud, corruption and terrorist financing.

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

  • 4-year college degree or international equivalent
  • ideally 8+ years of prior AML compliance or related regulatory experience with a significant amount of that time related to broker dealers or related experience at a law firm, regulatory agency, financial institution, major consulting firm or in law enforcement
  • previous experience in law enforcement or bank fraud investigations, reviewing activity in brokerage accounts, including researching and analyzing complex transactions to detect patterns, trends and anomalies. and investigating, writing, and filing Suspicious Activity (SARs) is an advantage
  • experience handling sensitive information with a high degree of discretion with a focus on the maintenance of client privacy
  • able to interact with, and present to, all levels of management and regulators
  • capable of prioritizing based on business demands
About us
UBS is the world's largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Salary information

CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level.

This role may be eligible for discretionary incentive compensation.

For benefits information:
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.

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