- Perform basic and enhanced KYC due diligence for new and existing UBS clients
- Review incoming documents for clients in accordance with UBS KYC /Anti-Money Laundering Program (AML) policies
- Conduct background checks and evaluate negative news related to existing clients and prospects
- Manage competing priorities, provide explicit directions and establish clear expectations for stakeholders
- Develop a deep understanding of UBS Investment Bank products and services
- Familiarity with various legal entity types, understand and articulate ownership chains and organizational structures of varying complexity
- Maintain working knowledge of appropriate BSA and OFAC laws and regulations
- Understand Customer Identification Program (CIP) and Customer Due Diligence (CDD) requirements and related procedures
- Understand the five pillars of an effective AML program
- Be an active risk manager, recognize the factors that impact client risk rating and due diligence requirements
- Work cross-functionally with internal teams to discuss changes or updates to UBS KYC/AML requirements, policy, and procedure
- Recommend, develop, and implement solutions to support continuous improvement of our processes, procedures, and services
- Appropriately escalate issues to management, compliance, and the business
- Handle sensitive and confidential information in accordance with firm policy
- BA/BS degree in Finance , Business, Legal Studies, and/or similar discipline
- 1-3 years of relevant experience, preferably working in financial services, compliance, or law
- Ability to analyze client information and documentation to facilitate account opening
- Understanding of rules, regulations, and regulatory requirements (BSA / US Patriot Act / OFAC / Dodd Frank)
- Strong organizational/time management skills and attention to detail
- Exceptional written and verbal communication
- Ability to work well under pressure and handle challenging deadlines
- Resilient team player with a can-do attitude
- Knowledge of investment bank products and industry trends
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KYC Client Onboarding Specialist - Nashville, United States - UBS
Description
Your role
Are you a self-starter? Do you see opportunity when faced with a challenging problem, and are you willing to deep dive to identify solutions and deliver results? We are seeking a motivated and detail oriented individual to support Institutional Client Onboarding for the Investment Bank.
This is a front office / client facing role responsible for gathering and analyzing KYC information; enabling an efficient and transparent onboarding experience for our institutional clients.
The ideal candidate will possess exceptional communication skills in addition to a strong client service mindset, analytical approach to problem solving, and an ability to work both independently and collaboratively in a team environment.
As a Client Onboarding Specialist you will be responsible for supporting UBS Sales & Trading across multiple markets and asset classes, covering both domestic and international client accounts.
You will provide a critical service for our business partners, ensuring that all information provided for new client relationships is corroborated with supporting documentation as required by local laws, regulations and UBS internal policies.
To be successful in this role you will need to be quick to learn our business, keen to develop new skills, and have an enthusiastic and positive attitude.
ResponsibilitiesAt 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?Your expertise
Preferred Qualifications
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.
KYC Client Onboarding Specialist professionals in Nashville
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Lacey Houston
Senior Recruiter
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Ashley Stack
Client Growth & Mgmt