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Banking Attorney in Miami, FL

UBS Jun 21,2016 Apr 20,2016 Location USA Miami FL
This job is expired...

In-House

Attorney

Finance - Banking

Litigation - Whistleblower - CFTC

Min 7 yrs required

Profile

KYC Manager Duties: Analyze high risk counterparties, reputational risks, and politically exposed persons (“PEP”). Guide on boarding operations in understanding and complying with CIP requirements. Oversee Know Your Customer (KYC) quality assurance. Manage AML related metrics reporting. Assist in the development, implementation, and periodic performance of key controls. Contribute to periodic risk assessment design enhancements. Ensure client vetting data and document processing comply with regulations, guidelines, standard and UBS policies for all new accounts. Interact daily with Advisors, Branch Management, Compliance and legal regarding the questions or issues with account documentation to ensure the timely opening of accounts. Perform analysis of KYC; ensuring all appropriate customer documentation is on file in accordance with internal and external guidelines. Ensure the accuracy, consistency, and completeness of operational data and documents in UBS data stores. Maintain an in depth knowledge of client on boarding data and document requirements as required by UBS policy. Perform Red Flag and RBA Reviews based on outline as defined by FCC. Be responsible for escalation of FCP exceptions: contact person for FCP Core Team to follow up on outstanding attestations and other FCP related items including FCP/Country Remediation's. Strong Cross Border Business background; ability to explain Rules of the Road to different stakeholders to ensure an in depth understanding of Cross Border policies.

Qualification and Experience

Qualifications: A university degree and an advanced law degree (preferably) –Strong international exposure –Strong understanding of AML/ OFAC regulations Strong understanding of commercial banking and broker dealer products and services 7+ years of experience in the financial services industry in a similar role –FINRA Registrations: Series 7, 66, 8 or 9 and 10. required OR Series 7, 66 with an advanced law degree You are: –Able to effectively handle a fast paced environment and successfully meet established deadline requirements –Team orientated, while able to complete tasks independently –An expert on Know Your Customer (KYC) activities.

Additional info

Job Reference # 134476BR

Company info