UBS Financial Services Client Onboarding Regulatory Specialist in Nashville, Tennessee

Your role:

Are you incredibly organized with an eye for detail? Do you have a client service orientation and a high risk awareness?

As an Onboarding Specialist for Know Your Client (\"KYC\") and Regulations, you will be responsible for supporting salespersons across different markets, covering both domestic and international client accounts. You will also be a key player on the Regulatory team to ensure that all information provided for the client is corroborated with supporting documentation as required by laws, regulations and UBS internal policies.


– review incoming documents for clients according to UBS KYC /Anti-Money Laundering Program (AML) policies

– perform basic and enhanced due diligence KYC screenings for new and existing customers

– escalate issues to management as appropriate

– liaise with internal teams to discuss UBS KYC/AML requirements and document client information

– communicate with sales teams to manage expectations and field questions

– handle sensitive and confidential information in accordance to UBS firm policy

– make sure that the document records correspond with data in the system

– responsible for processing end of day controls

– contribute to continuous improvement of processes and services

What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We 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.

Your team:

You’ll be working in the Client Onboarding team in Nashville, TN. The team is front office/client-facing role and, in many cases, you will be the first exposure a client has to UBS processes. The role involves information and documentation collection to enable the account opening process.

This role also gives you the opportunity to build relationships with UBS salespersons across different markets, covering both domestic and international client accounts. We operate as part of a cross-product team and help to support all functions in their timely execution of responsibilities, including the coordination of workflow with the offshore teams. To be successful in this role you will need to be quick to learn the business, keen to develop new skills and have an enthusiastic and positive attitude. Good project management, communication, team skills are key.

Your expertise:

Ideal candidates will have:

– 4 year degree or equivalent business experience in delivering quality client service (ideally in financing, banking, insurance or health industries)

– ability to analyze client information and documentation to facilitate account opening

– understanding of rules, regulations and regulatory requirements (Bank Secrecy Act / US Patriot Act / OFAC)

– organizational skills, detailed oriented, motivated, and ability to work independently

– have strong written and verbal communication skills

–dedicated team player with a can-do attitude

– work well under pressure and ability to handle deadlines

– time management skills and ability multitask

– PC proficient (MS Office) and extensive knowledge in online research

– troubleshoot and resolve issues in a timely manner

About us:

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 more than 50 countries. Do you want to be one of us?

Your colleagues:

Job Reference #: 179084BR

Business Divisions: Corporate Center

Title: Client Onboarding Regulatory Specialist

City: Nashville

Job Type: Full Time

Country / State: United States - Tennessee

Function Category: Operations