UBS Financial Services KYC Manager in Coral Gables, Florida
Are you an expert on compliance and risk? Do you have international exposure? We're looking for someone like that to:
• Analyze high risk counterparties, reputational risks, and politically exposed persons (\"PEP\")
• Guide on-boarding operations in understanding and complying with CIP requirements
• Oversee Know Your Customer (KYC) quality assurance
• Manage AML-related metrics reporting
• Assist in the development, implementation, and periodic performance of key controls
• Contribute to periodic risk assessment design enhancements
• Ensure client vetting data and document processing comply with regulations, guidelines, standard and UBS policies for all new accounts
• Interact daily with Advisors, Branch Management, Compliance and legal regarding the questions or issues with account documentation to ensure the timely opening of accounts
• Perform analysis of KYC; ensuring all appropriate customer documentation is on file in accordance with internal and external guidelines
• Ensure the accuracy, consistency, and completeness of operational data and documents in UBS data stores
• Maintain an in-depth knowledge of client on-boarding data and document requirements as required by UBS policy
• Perform Red Flag and RBA Reviews based on outline as defined by FCC
• Be responsible for escalation of FCP exceptions: contact person for FCP Core Team to follow up on outstanding attestations and other FCP related items including FCP/Country Remediation's
• Strong Cross-Border Business background; ability to explain Rules of the Road to different stakeholders to ensure an in-depth understanding of Cross Border policies
What we offer:
Together. That’s how we do things. We offer talented people around the world a supportive, stimulating and diverse working environment. We’ll value your passion and commitment. And reward your performance.
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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.
Our role is to work collaboratively ensure that 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.
Your experience and skills:
• A university degree and an advanced law degree (preferably)
• 7+ years of experience in the financial services industry in a similar role
• FINRA Registrations: Series 7, 66, 8 or 9 and 10 required OR Series 7, 66 with an advanced law degree
• Strong international exposure
• Strong understanding of AML/ OFAC regulations
• Strong understanding of commercial banking and broker dealer products and services
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 144133BR
Business Divisions: Wealth Management Americas
Title: KYC Manager
City: Coral Gables
Job Type: Full Time
Country / State: United States - Florida
Function Category: Business management, administration and support