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UBS Financial Services BSA/AML SORT/Closure Pack in New York, New York

BSA/AML SORT/Closure Pack

United States - New York

Business management, administration and support

Global Wealth Management

Job Reference #:



New York

Job Type:

Full Time

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:

  • Support Private Bank as the Issue Administrator for issues and actions in SORT.

  • Track issues and actions in SORT to ensure updates are entered timely

  • Support the drafting issue/action plan closure pack, ensuring remediation efforts are adequate and sustainable in keeping with the Operational Risk Framework and GIA issuance

  • Prepare ORI and MLSI reporting to the regions senior committees

  • Ensure the sustainability of controls are implemented through new or existing Key Procedural Control instances (\"KPCi\").

  • Provide monthly RAG status for issues in SORT; liaise with relevant stakeholders to coordinate status updates

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:

  • Excellent written and verbal communication skills, with the ability to persuasively communicate complex issues timely and clearly

  • Self-starter and ability to obtain evidence from relevant stakeholders, including senior management.

  • Excellent organizational skills with the ability to prioritize and think critically and act quickly under pressure

  • Strong work ethic and attention to detail

You are:

  • Experienced background in Audit and/or Compliance in documenting review results through control testing or reports.

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.

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