UBS Financial Services BSA/AML Quality Control Director in New York, New York

Your role:

Are you considered a subject matter expert in key topics within the client lifecycle management process? Do you know how to share your knowledge and expertise with others?

We’re looking for someone like that to:

  • Perform quality control checks and sample testing across various processes and special projects working closely with 1LOD personnel

  • Report findings and observations based on QC standards and processes established by BSA/AML Program Lead and other Internal Audit program reviews/assessments

  • Provide recommendations and corrective actions in response to findings observed during QC review process

  • Reviews and assessments may include but are not limited to: 1) EDD new customer onboarding 2) CDD new customer onboarding 3) Periodic KYC Review (existing customers) 4) New account opening for existing customers 5) Special assessment/review/project

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.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

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 Chief Administrative Officer (CAO) team. You will be a member of the UBS AG Private Bank. The bank primarily provides lending and investment management solutions for Client Advisors and Financial Advisors with clients who want to book in the United States.

Your expertise:

You have:

  • Understanding of key topics within the client lifecycle management process, including: Source of Wealth corroboration, negative news and adverse media screening, collection of required UBO/partner documentation, nature and purpose of account, monitoring/mitigating of potential suspicious transactions, changes in regulatory rules, recent trends and enforcement actions, peer group leading practices, client risk rating, other AML related red flags

  • Experienced in conducting quality control reviews and assessments relating to BSA/AML business-as-usual and special projects (e.g., remediation projects), specifically, client onboarding, lifecycle related processes, etc.

  • Experienced with appropriate law, 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.

  • Management / Risk Consulting experienced preferred

  • At least 5 years of experience

You are:

  • Experienced in matters relating to BSA/AML programmatic elements and implemented/recommended key procedural controls, procedures and processes into a BSA/AML program based on peer bank group leading practices and regulatory requirements

  • Understanding of private bank and wealth management products and services

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:

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.

Job Reference #: 186601BR

Business Divisions: Global Wealth Management

Title: BSA/AML Quality Control Director

City: New York

Job Type: Full Time

Country / State: United States, United States - New York

Function Category: Business management, administration and support