UBS Financial Services KYC Quality Approver - Institutional Clients in New York, New York
You will lead a team within the Americas region with a focus on strengthening implementation, compliance and controls pertaining to a wide variety of regulatory requirements within the Client Onboarding space. This role deals with compliance and controls surrounding Dodd-Frank, OCR, Volcker, Canada Reporting Rules, Bilateral Margining, SEC Reporting Rules, and Markit Access compliance standards.
The team you will lead is responsible for remediations pertaining to these and upcoming regulations, new regulation implementation, assessing impact and implementation within the Client Onboarding team, addressing issues within the regulatory control framework, and coordinating across the firm's stakeholders on implementation design and approach.
This is a fast-paced role that will present unique challenges in a regulatory implementation workstream.
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.
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.
You’ll be working in the Regulatory team within the Client Onboarding department. The team and your role supports the Client Onboarding team, which is a front office/client-facing team, and in many cases, you will be included in client discussions pertaining to compliance standards. The role involves designing processes for information and documentation collection to enable the account opening process, the mastering and maintenance of such data, and providing support for regulatory reporting.
This role also gives you the opportunity to build relationships with UBS salespersons across different markets, 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. Good project management, communication, team skills are key. An in-depth knowledge of the current key regulatory initiatives is strongly desired.
Ideal candidates will have:
– 4 year degree or equivalent business experience in delivering quality client service (ideally in financing, banking, insurance or health industries)
– ability to analyze client information and documentation to facilitate adherence with regulatory requirements within the account opening process
– 2-3 years of experience with market regulations and regulatory requirements (Dodd-Frank, OCR, Bilateral Margining, SEC Reporting rules, Volcker, Market Acces, etc)
– organizational skills, detailed oriented, motivated, and ability to work independently
– have strong written and verbal communication skills; an ability to clearly articulate complex ideas and scenarios in an easy to understand manner
– dedicated team player with a can-do attitude
– 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; advanced Excel skills
– troubleshoot and resolve issues in a timely manner
– prior experience leading a team of 2-4 people
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 almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 182413BR
Business Divisions: Corporate Center
Title: KYC Quality Approver - Institutional Clients
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Operations