Quality Control Analyst

Job Reference #
296534BR

Job Type
Full Time

Your role
Do you have a strong understanding of AML/ OFAC regulations? Are you someone who is interested in identifying risks and offering and implementing suggestions that enhance the workplace?

Detailed Salary Information by city(ies):

• Weehawken: the salary range for this role is $80000 to $100000
  
  

The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits .

Your team
Do you know how to keep an eye out for and avoid risk? Are you skilled at assessing processes and making improvements? Are you a strong communicator with a KYC/ AML/ Compliance or Legal background? Do you have an interest in ensuring the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices?

We’re looking for a Business Risk Team Leader to:

• execute the Know Your Customer (KYC) activities, ad-hoc regulatory requirement reports, and remediation's of the branch. This includes delivering the Compliance program for anti-money laundering, anti-bribery, sanctions, Cross Border, Fiscal Compliance and related disciplines
• identify key risks in the current client lifecycle management process and recommend strategies to for future state design to mitigate AML risks while operationalizing efficiency levers and reduce account opening lead times
• oversee the KYC Periodic Reviews process, managing the overall Periodic Review pipeline, ensuring prioritization and timely execution of cases and compliance with regulatory deadlines.
• maintain subject matter expertise of applicable anti-money laundering laws and regulations and support Front Office by providing guidance on KYC compliance requirements
• translate AML policy for the Front Office to understand and execute, and ensure KYC standard/policy is consistently applied, in addition to regularly evaluating and improving existing processes & putting new processes (including training) into action and systematically track them
• ensure client vetting data and document processing comply with regulations, guidelines, standards and UBS policies for all new accounts, as well as complete of Final Due Diligence Checklist and negative news searches
  
  

Your expertise
You'll be joining our Business AML Organization (BAMLO) team, which focuses on driving strategy, implementation, and oversight for the AML program within the US Wealth Management line of business. This role is based out of Weehawken, Nashville, and Miami. We work collaboratively with our business partners, WM field leadership, and Second Line Compliance partners to ensure that our Financial Advisors serve their clients in accordance with regulatory requirements.

CA, CO, WA and NY based roles: The salary range for this role is $80,000 to $100,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.

About Us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

How We Hire

We may request you to complete one or more assessments during the application process. Learn more

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

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.

Salary Information
US Only: The expected salary range for this role is $80000 to $100000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.