Job Details

Kyc Manager

Company name


Organization Type


Job Type

Non-practicing Attorney

Date Last Verified

Jan 20,2019

Valid Through

May 05,2019

Posted on

Dec 17,2018

Years of Experience

Min 7 yrs required


Grand Forks, ND, United States

Employment Type



Practice Area
Finance >> Finance - General
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KYC Manager
The candidate will analyze high risk counterparties, reputational risks, and politically exposed persons ("PEP"). Will 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

The candidate should have university degree and an advanced law degree (preferably). Must have 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 is required. Must have strong international exposure and strong understanding of AML/ OFAC regulations. Must have strong understanding of commercial banking and broker dealer products and services.

Additional info

Job Reference # 185650BR

Company info

Hiring Coordinator
2617 South Columbia Road
Suite 2
Grand Forks, ND 58201

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