UBS Financial Services Client Onboarding KYC Specialist in Nashville, Tennessee
Client Onboarding KYC Specialist
United States - Tennessee
Job Reference #:
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 Client Onboarding Specialist to:
• 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
• 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
You will be working as part of the IB Client Onboarding team in Nashville, TN. Our team plays an important role in the success of multiple lines of business and have a direct impact on the reputation of UBS. This role offers a unique opportunity to build relationships across multiple IB functions and establish partnerships with internal credit, legal, compliance, and operations teams.
• 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
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?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, 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.