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KYC Analyst
4 months ago
Are you a strong communicator with a KYC/ AML/ Compliance or Legal background? Do you have an interest in ensuring the firm and 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?
• The KYC analyst is accountable for executing 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
• Conducts initial analysis of new account EDD packages
• 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
• Ensure KYC standard/policy is consistently applied in the Front Office
• Ensure client vetting data and document processing comply with regulations, guidelines, standards and UBS policies for all new accounts
• Obtains and reviews required EDD documentation in accordance with CUSO policy and procedures
• Completion of Final Due Diligence Checklist and negative news searches
• Conducts initial review of Periodic KYC Reviews
• Execute account maintenance updates
• Process client lifecycle related reports
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.
Your expertise
• 4 year college degree or international equivalent required; Advanced degree a plus
• 2 or more years of AML/Compliance, Risk Management and/or Legal Background is preferred
• consulting background in AML is a plus
• excellent written and verbal communication skills
• ability to interact and work closely with business stakeholders at all levels of seniority
• strong understanding of AML/ OFAC regulations
• strong understanding of commercial banking and broker dealer products and services
• possess strong analytical thinking and critical reasoning skills
• ability to work effectively in a team environment
• ability to effectively handle a fast paced environment and successfully meet established deadline requirements
• self-motivated with the ability to work independently
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
