Client Onboarding Vice President
Apply NowCompany: UBS
Location: Raleigh, WV 25911
Description:
Your role
Assist with account opening and Know Your Customer (KYC) requirements for clients within the Investment Banking and Capital Markets (IBCM) business.
Review front-to-back onboarding process from the point of handover from the Front Office until completion.
Serve as a liaison between the client, Front Office, and other internal teams responsible for the completion of the KYC process and ensure proper diligence is completed in line with internal guidelines.
Understand and communicate account structures and FCC requirements to Front Office, collaborate with clients to obtain required KYC information, and coordinate delivery of documentation for KYC Initial Due Diligence.
Conduct database searches and evaluate results to ensure that new customers are not subject to the Office of Foreign Assets Control or other global sanctions lists and that the customer and related parties do not present any reputational risk.
Perform due diligence covering reputation risk, politically exposed persons, sanctions, sustainability, and market area risk appetite.
Ensure requisite approvals are obtained before completing cases.
Advise Front Office of deficiencies in submitted paperwork and provide guidance on relevant KYC obligations.
Collaborate with FCC and other Corporate Functions departments to ensure IBCM is fully aware of current regulatory requirements and is prepared for expected changes to KYC policies and procedures.
Identify and participate in projects to improve client onboarding procedures, processes, and applications.
Work on the IBCM redemption facilities project to provide coverage to big fund houses and agent banks.
Collaborate with the Data team on identified enhancements to the SharePoint tracker and create additional Tableau dashboards for management information reporting and monitoring of business-as-usual workload and pipeline.
Validate the Client Onboarding tracker against KYC Initial Due Diligence and Lifecycle Verification Services trackers and explore areas to validate against system reports.
Create monthly management information slides for Client Onboarding Lifecycle Management and other ad hoc reports.
Work with KYC requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and, data analytics.
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. 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.
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.
Your expertise
Bachelor's degree in Finance, Economics, or a related field of study plus four (4) years of experience with Know Your Customer (KYC) requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and/or, data analytics.
Alternatively, the employer will accept six (6) years of experience with Know Your Customer (KYC) requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and/or, data analytics.
Qualified Applicants apply through SH-ProfRecruitingcc@ubs.com. Please reference: FRA-DR-UBS-086. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI.
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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Assist with account opening and Know Your Customer (KYC) requirements for clients within the Investment Banking and Capital Markets (IBCM) business.
Review front-to-back onboarding process from the point of handover from the Front Office until completion.
Serve as a liaison between the client, Front Office, and other internal teams responsible for the completion of the KYC process and ensure proper diligence is completed in line with internal guidelines.
Understand and communicate account structures and FCC requirements to Front Office, collaborate with clients to obtain required KYC information, and coordinate delivery of documentation for KYC Initial Due Diligence.
Conduct database searches and evaluate results to ensure that new customers are not subject to the Office of Foreign Assets Control or other global sanctions lists and that the customer and related parties do not present any reputational risk.
Perform due diligence covering reputation risk, politically exposed persons, sanctions, sustainability, and market area risk appetite.
Ensure requisite approvals are obtained before completing cases.
Advise Front Office of deficiencies in submitted paperwork and provide guidance on relevant KYC obligations.
Collaborate with FCC and other Corporate Functions departments to ensure IBCM is fully aware of current regulatory requirements and is prepared for expected changes to KYC policies and procedures.
Identify and participate in projects to improve client onboarding procedures, processes, and applications.
Work on the IBCM redemption facilities project to provide coverage to big fund houses and agent banks.
Collaborate with the Data team on identified enhancements to the SharePoint tracker and create additional Tableau dashboards for management information reporting and monitoring of business-as-usual workload and pipeline.
Validate the Client Onboarding tracker against KYC Initial Due Diligence and Lifecycle Verification Services trackers and explore areas to validate against system reports.
Create monthly management information slides for Client Onboarding Lifecycle Management and other ad hoc reports.
Work with KYC requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and, data analytics.
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. 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.
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.
Your expertise
Bachelor's degree in Finance, Economics, or a related field of study plus four (4) years of experience with Know Your Customer (KYC) requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and/or, data analytics.
Alternatively, the employer will accept six (6) years of experience with Know Your Customer (KYC) requirements and account set-up procedures; investment banking products and associated legal agreements; money laundering prevention for financial institutions; project management; and/or, data analytics.
Qualified Applicants apply through SH-ProfRecruitingcc@ubs.com. Please reference: FRA-DR-UBS-086. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI.
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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.