United States, United States - Florida
Business management, administration and support
Your role
Do you want to help enhance the onboarding experience for clients? Do you have a strong understanding of AML/ OFAC regulations? Are you someone who is interested in identifying risks and offering and implementing suggestions that enhance the workplace?
- The role of the CLM Strategic Business Analyst is to 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.
- The CLM Strategic Business Analyst is accountable for providing on-site Onboarding support to the Branch Management teams and Financial Advisor teams with training and SME knowledge for Onboarding process, policy and systems
- Identify key risks in the current CLM process and recommend strategies to for future state design to mitigate AML risks while operationalizing efficiency levers.
- Provide Subject Matter Expertise on potential key risks identified during the Onboarding of Medium, High and Higher rated clients. This Includes analyzing high risk counterparties, reputational risks, and politically exposed persons (“PEP”).
- Ensure all appropriate customer documentation is on file in accordance with internal and external guidelines.
- Assist in the development, implementation, and periodic performance of key controls.
- Maintain an in-depth knowledge of CLM data and document requirements as required by UBS policy
- Deliver on targets and objectives in line with timelines dictated by Service Level Agreements (SLAs) and quality expectations
Your team
UBS International
Your expertise
- 4 year college degree or international equivalent required
- 5+ years of relevant experience with AML/KYC applicable laws, rules and regulations pertaining to BSA/AML statutory and non-statutory requirements, including, Bank Secrecy Act, PATRIOT Act, FFIEC Examination Manual, FinCEN CDD Rule, etc.
- Excellent written and verbal communication skills
- Strong understanding of AML/ OFAC regulations Ability to interact and work closely with business stakeholders at all levels of seniority
- Understanding of commercial banking and broker dealer products and services
- Demonstrated 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 deadlines
- Self-motivated with the ability to work independently
- ACAMS Certification a plus
- Licenses: (Series 7, 9/10) a plus
- AML/Compliance, Risk Management and/or Legal Background
- Proficiency in any one of Spanish, Portuguese, Mandarin or Cantonese a plus
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?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
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.