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UBS Financial Services Client Onboarding KYC Specialist in Nashville, Tennessee

Client Onboarding KYC Specialist

United States - Tennessee


Group Functions

Job Reference #:




Job Type:

Full Time

Your role:

Are you organized and detail oriented? We are looking for someone to focus on KYC, AML and CDD and compliance and controls surrounding BSA / AML policies and procedures in a fast-paced environment. You'll be part of the KYC team at UBS and will be responsible for gathering and analyzing Client KYC information within the Investment Bank. The role will require the candidate to be able to work with and liaise with various departments within UBS. This role also gives you the opportunity to build relationships with UBS salespersons, covering both domestic and international client accounts. 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 and have knowledge of KYC and AML best practices.


•Liaise with internal personnel on the application of KYC policy

•Understanding of the 5 pillars of an AML program

•Maintaining knowledge of appropriate BSA and OFAC laws and regulations with a view to review / challenge internal teams where required

•Liaise with internal teams to discuss UBS KYC/AML requirements, policy and document client information

•Interact with clients and internal teams to obtain KYC and other compliance information and documentation;

•Liaise with internal teams to ascertain information on the purpose of client accounts, transaction volumes etc.;

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

•Retain records of all information relied upon to complete KYC

•Perform basic, additional and enhanced due diligence KYC reviews for new and existing customers

•Escalate any unusual activity / transaction activity changes to compliance and the business

•Review and evaluate recent negative news related to clients;

•Ensure UBS has a clear understanding of the clients KYC risks

•Understanding of how risk factors impact client risk rating

•Understanding on how sanctions, ABC, terrorist financing impact the risk profile of the client

•Act as a subject matter expert in the execution and implementation of KYC rules and polices

•Understanding of how an Investment Bank works

•Understanding of Investment Bank products and services

•Escalate issues to management as appropriate

• Report as needed to regional/local control committees on challenges, progress, etc

•Handle sensitive and confidential information in accordance to UBS firm policy

•Contribute to continuous improvement of processes and services

•Have knowledge of writing comprehensive reports detailing results of QC / audit and defining executable actions

•Understanding impact of technology and how it can aid in improving quality of a process

Your team:

You’ll be working with the Client Onboarding KYC team. Our team is front office/client-facing and we are responsible for coordinating with clients for KYC documentation collection, analysis, and reviews to ensure the firm's ongoing compliance with AML policy.

This role also gives you the opportunity to build relationships with the client on-boarding team and UBS salespersons, 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.

Your expertise:

Ideal candidates will have:

• 4 year degree

•5 to 7 year experience in conducting KYC for institutional clients; preferrably some understanding of Correspondent Banking as well

• 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

•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

•Dedicated team player with a can-do attitude

•Troubleshoot and resolve issues in a timely manner

•Attention to detail with strong follow-up and good judgment

•AML Certification (ACAMS) or other AML / Compliance certification

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?

Join 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.