UBS
Client Lifecycle Management Strategic Business Manager
UBS, Houston, TX
Your role
Are you a strong communicator with a KYC/ AML/ Compliance or Legal background? Do you have an interest in ensuring the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices?
We're looking for a Client Lifecycle Management (CLM) Strategic Business Manager to:
• ensure firm compliance with federal and state laws, SEC, Federal Reserve, CFTC, FINRA regulations, and industry best practices
• provide on-site support to the Branch Management teams and Financial Advisor teams with training and SME knowledge for AML/ KYC process, policy and systems
• provide Subject Matter Expertise on potential key risks identified during the Client Lifecycle of all risk rated clients. This Includes analyzing high risk counterparties, reputational risks, and politically exposed persons ("PEP")
• assist in the developing, implementing, and periodic reviewing the performance of key controls and provide ongoing enhancement suggestions for approach, procedures and other core areas
• engage daily with Financial Advisor teams, Branch Management, BAMLO, Compliance, DSO, Risk and Legal to address questions or issues related to PKR cases, ensuring timely completion
• manage PKR queues at the market level and conduct PRK quality control (QC) before management sign off
• analyze KYC documentation to ensure compliance with internal and external guidelines
• ensure all required customer documentation is in file and meet targets/objectives within SLA timelines and quality standards
Your team
You'll be joining our Business AML Organization (BAMLO) team, which focuses on driving strategy, implementation, and oversight for the AML program within the US Wealth Management line of business. This role is based out of Houston and San Diego. We work collaboratively with our business partners, WM field leadership, and Second Line Compliance partners to ensure that our Financial Advisors serve their clients in accordance with regulatory requirements.
Your expertise
• ideally 5 or more years of AML/KYC experience
• bachelor or international equivalent required; advanced degree a plus
• license (Series 7, 9/10); ACAMS Certification a plus
• strong understanding of AML/ OFAC regulations; consulting background is a plus
• strong understanding of commercial banking and broker dealer products and services
• result-oriented and assertive (you don't shy away from challenging situations)
• ability to effectively handle a fast paced environment and successfully meet established deadline requirements
• ability to interact and work closely with business stakeholders at all levels of seniority
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.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
Are you a strong communicator with a KYC/ AML/ Compliance or Legal background? Do you have an interest in ensuring the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices?
We're looking for a Client Lifecycle Management (CLM) Strategic Business Manager to:
• ensure firm compliance with federal and state laws, SEC, Federal Reserve, CFTC, FINRA regulations, and industry best practices
• provide on-site support to the Branch Management teams and Financial Advisor teams with training and SME knowledge for AML/ KYC process, policy and systems
• provide Subject Matter Expertise on potential key risks identified during the Client Lifecycle of all risk rated clients. This Includes analyzing high risk counterparties, reputational risks, and politically exposed persons ("PEP")
• assist in the developing, implementing, and periodic reviewing the performance of key controls and provide ongoing enhancement suggestions for approach, procedures and other core areas
• engage daily with Financial Advisor teams, Branch Management, BAMLO, Compliance, DSO, Risk and Legal to address questions or issues related to PKR cases, ensuring timely completion
• manage PKR queues at the market level and conduct PRK quality control (QC) before management sign off
• analyze KYC documentation to ensure compliance with internal and external guidelines
• ensure all required customer documentation is in file and meet targets/objectives within SLA timelines and quality standards
Your team
You'll be joining our Business AML Organization (BAMLO) team, which focuses on driving strategy, implementation, and oversight for the AML program within the US Wealth Management line of business. This role is based out of Houston and San Diego. We work collaboratively with our business partners, WM field leadership, and Second Line Compliance partners to ensure that our Financial Advisors serve their clients in accordance with regulatory requirements.
Your expertise
• ideally 5 or more years of AML/KYC experience
• bachelor or international equivalent required; advanced degree a plus
• license (Series 7, 9/10); ACAMS Certification a plus
• strong understanding of AML/ OFAC regulations; consulting background is a plus
• strong understanding of commercial banking and broker dealer products and services
• result-oriented and assertive (you don't shy away from challenging situations)
• ability to effectively handle a fast paced environment and successfully meet established deadline requirements
• ability to interact and work closely with business stakeholders at all levels of seniority
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.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?