Hong Kong SAR

Operations

Global Wealth Management

Your role

Are you detail oriented with strong research capability? Do you have a strong sense of when things are not as they seem? Do you enjoy working in an ever-changing environment & solving complex tasks? Do you enjoy supporting a group of experienced Client Advisors in delivering an excellent client experience?

We are looking for a Senior CDD Know Your Customer Officer, GWM Hong Kong to:
• Manage a team of 10+ KYC analyst in perform KYC due diligence reviews of wealth management clients.
• Provide advice and solutions regarding due diligence, KYC standards, internal policies, procedures, and local regulations.
• Strong stakeholder management with Front Office, Compliance, and other stakeholders with appropriate escalation.
• Proven track record in delivering KYC quality with commercial risk-based solutions.
• Experience in delivering timely remediation in accordance with project timelines.
• Highlight deficiencies, suspicious AML or other non-compliance issues to relevant parties and management.
• Identify and assess resulting ML/TF risks with respect to regulatory requirement as well as Group AML/CFT policy and procedures.
• Support Internal/External audit, compliance testing and other supervisory visits as appropriate.

Job Reference #

327671BR

City

Hong Kong SAR

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

Your team :

You will be working in the Operating Head Front Support Office Northeast Asia, Global Wealth Management team in Hong Kong. We are comprised of Client Onboarding and Periodic Know Your Client teams. We work as part of the first line of defense in preventing money laundering, corruption and the financing of terrorism (AML/CFT). The KYC Specialist provides expert advice to Front Office in all KYC matters, and partner Front Office in the CDD KYC process. In addition, works closely with Group Compliance on specific AML/KYC policy and procedures as well as client risk profiling related matters. The KYC team reports to the Operating Head GWM and functions as the Compliance Expert for the Front Office.

Your expertise

• Strong KYC/AML expertise in Wealth Management.
• Minimum of 15 years of experience in banking industry, at least 10 years as a people manager.
• Possess critical thinking and able to review, analyze client's risk profile to ascertain onboarding risks and if within bank's risk appetite.
• Able to uplift CDD KYC/AML operating processes, commercial risk-based solutions ensuring KYC risks are duly considered.
• Broad knowledge of Asia's rules and regulations, with focus on KYC/AML e.g. MAS, HKMA, ASIC, RBI/SEBI, JFSA.
• Proven track record in delivering timely remediation in accordance with project timelines.
• Proven track record in leading the team to initiate and implement strategic initiatives for KYC quality uplift and process improvements.
• Excellent critical thinking and analysis skills, problem solving capacities.
• Self-motivated, independent, strong sense of ownership with ability to work in a team environment.
• An excellent spoken and written knowledge of English & Chinese.
• Certifications in AML such as Certified Anti Money Laundering Specialist (CAMS) or International Association Diploma in Anti Money Laundering would be an advantage but not essential

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 know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.