KYC Analyst - Military Veterans
at UBS Financial Services, Inc.
Are you a strong communicator with Branch and/or regulatory background? Do you have your Series 9/10 license?
Do you see opportunity when faced with a challenging problem and are willing to deep dive and deliver results?
The Business AML Organization Centralization 9/10 team is looking for a team members to help support the WMA account opening process, reviews and due diligence requirements.
We are seeking a Series 9/10 analyst to:
• identify key risks in the account opening process from both an AML, business, regulatory and operational risk (e.g., including Regulatory Best Interest) and accept the client risk or reject the client account/relationship based UBS policy and procedures
• assess the overall client profile and identify potential issues / risk items that may require additional analysis and/or dispositioning
• perform basic and enhanced KYC due diligence for new and existing UBS clients
• review incoming documents for clients in accordance with Firm and KYC /Anti-Money Laundering Program (AML) policies
• maintain working knowledge of appropriate FINRA, SEC, BSA, OFAC, Regulatory Best Interests and applicable laws and regulations
• 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
Weehawken, NJ
At UBS Financial Services, we appreciate our veterans and are committed to providing opportunities in Financial Services. That‘s why we‘re interested in meeting talented individuals like you for our customized post-military programs!
Veterans Associate Program (VAP):
- 22-Week Internship in-person NYC/NJ (Apply now through Sept 1, 2024)
- Provide tailored training, development, networking and mentoring opportunities for degreed transitioning veterans
- Divisionally aligned rotations across Global Wealth Management, the Investment Bank and Asset Management
- Key hiring areas: Global Wealth Management, Investment Banking, Asset Management
Enlisted Veterans Apprenticeship Program (EVAP):
- Provide tailored training and development for transitioning veterans pursuing their degree
- Full time apprenticeship across Wealth Advice Center and Group Functions
- Key hiring areas: Wealth Advice Center, Risk, Compliance, Wealth Management Operations, Investment Bank Operations and Corporate Functions opportunities.
Military Spouse Program
- Provide hybrid and remote full-time opportunities to the spouses of active-duty service members
- Tailored training and development for military spouses
- Opportunities across all business divisions
From gaining new experiences in different roles to acquiring fresh knowledge and skills – at UBS we believe that you should never stop growing and learning because life never stops teaching. We know that it's our people – with their unique backgrounds, skills, experience levels and interests – who drive our ongoing success. Ready to be part of #teamUBS and make an impact? Apply today!