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Finance - Banking Attorney in Wilmington, DE

UBS Feb 13,2019 Dec 26,2018 Location Wilmington DE
This job is expired...

In-House

Attorney

Finance - Banking

Min 7 yrs required

Profile

KYC Manager Job Reference :185650BR The candidate will 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

The candidate should have A university degree and an advanced law degree (preferably). Should 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. Should have strong international exposure. Should have strong understanding of AML/ OFAC regulations. Should have strong understanding of commercial banking and broker dealer products and services. Should be an expert on Know Your Customer (KYC) activities.

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