United States - New Jersey, United States - New York, United States - North Carolina, United States - Tennessee

Compliance, Risk

Group Functions

Your role

Do you want to have a leadership role in preventing criminals and terrorists from abusing the financial and legislative systems? Are you the type of person who can lead a team in the development of a program to prevent financial crimes? Are you an individual capable of undertaking a demanding yet rewarding role?

We are looking for someone who can:

• serve as an AML Officer for Financial Services (FS), Wealth Management USA International division of UBS, helping to lead and coordinate the delivery of a comprehensive AML program
• apply knowledge of AML regulations to ensure compliance with Bank Secrecy Act
• serve as the point of contact for the AML Investigations team for the broker dealer to review SAR filings, oversee customer exits, perform customer reviews on brokerage accounts/relationships by prioritizing, identifying, researching, analyzing and providing reports and recommendations related to negative information, activity and trends
• perform review of escalated customers, including large complex relationships and sensitive clients
• document all pertinent facts and information, summarizing actions, findings and recommendations for next steps for Chief AML Officer review
• recommend clear and concise referrals to the Financial Intelligence Unit for further investigations and potential SAR filing
• assist with the preparation and delivery of ad-hoc BSA/AML and OFAC compliance training based upon changes in regulatory requirements and/or emerging typologies
• complete UBS's annual BSA/AML/OFAC training

Job Reference #

330986BR

City

Nashville, New York, Raleigh, Weehawken

Job Type

Full Time

Your team

You will be working with the FS AML Officer team within Americas Financial Crime Prevention (FCP). The FCP team helps UBS in the fight against money-laundering, fraud, corruption and terrorist financing.

Your expertise

• ideally 4-year college degree or international equivalent
• ideally 8+ years of prior AML compliance or related regulatory experience with a significant amount of that time related to broker dealers (preferred) or equivalent experience at a law firm, regulatory agency, financial institution, major consulting firm or in law enforcement
• previous experience conducting open source research, reviewing activity in brokerage accounts, including analyzing complex transactions to detect patterns, trends and anomalies
• understanding of applicable BSA/AML regulations and their application at a broker dealer/financial institution
• understanding of key wealth management international markets and related financial crime risks is strongly preferred; allied proficiency in a foreign language a plus (ideally Spanish and/or Mandarin).
• experience handling sensitive information with a high degree of discretion
• able to communicate professionally with, and present to, all levels of management and regulators, market executives and financial advisors
• team-oriented with strong interpersonal skills, able to calmly manage conflict and pressure in a demanding, high-volume environment
• You’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

*LI-UBS
*UBS-MOGUL

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Salary information

The indicative gross base salary range as a full-time equivalent role:
• United States - New Jersey - Weehawken min USD 152000 - max USD 198000
• United States - New York - New York min USD 152000 - max USD 198000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.

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.