Senior AML Officer - Wealth Management Americas

About the role

We are seeking an AML Officer for Financial Services (FS) within the Wealth Management USA International division of UBS. This role involves leading and coordinating the delivery of a comprehensive AML program, applying knowledge of AML regulations, and overseeing various aspects of compliance.

Responsibilities

• Lead and coordinate the delivery of a comprehensive AML program
• Ensure compliance with Bank Secrecy Act through the application of AML regulations
• Act as the point of contact for the AML Investigations team, reviewing SAR filings, overseeing customer exits, and performing customer reviews on brokerage accounts/relationships
• Document all pertinent facts and information, summarizing actions, findings, and recommendations for next steps
• Recommend clear and concise referrals to the Financial Intelligence Unit for further investigations and potential SAR filings
• Aid in the preparation and delivery of ad-hoc BSA/AML and OFAC compliance training based on regulatory changes and emerging typologies
• Complete UBS's annual BSA/AML/OFAC training

Requirements

• 4-year college degree or international equivalent
• At least 8+ years of prior AML compliance or related regulatory experience, preferably with broker dealers
• Experience conducting open source research, reviewing activity in brokerage accounts, and analyzing complex transactions to detect patterns, trends, and anomalies
• Understanding of applicable BSA/AML regulations and their application at a broker dealer/financial institution
• Experience handling sensitive information with a high degree of discretion
• Ability to communicate professionally with all levels of management and regulators, market executives, and financial advisors
• Team-oriented with strong interpersonal skills, able to manage conflict and pressure in a demanding, high-volume environment

Qualifications

• Previous experience in law firms, regulatory agencies, financial institutions, major consulting firms, or law enforcement
• Understanding of key wealth management international markets and related financial crime risks, especially in Spanish and Mandarin

Skills

• Sound judgment in validating outputs and aligning with policies, risk standards, and ethical use
• Proficiency in using AI to improve workflow efficiency

Benefits

The indicative gross base salary range for this role is as follows:

• New Jersey, Weehawken: min USD 152000 - max USD 198000
• New York: min USD 152000 - max USD 198000 /annum

The expected salary for this role will be determined by relevant factors including role-required experience, qualifications, education, location, and skill level. UBS offers a range of competitive benefits, including disability inclusion and reasonable accommodations for individuals with disabilities.

Join us at UBS, where we believe that our people, with their diverse skills, experiences, and backgrounds, drive our ongoing success. We are dedicated to our craft and passionate about empowering our employees, wherever they are on their career journey. We use artificial intelligence (AI) to work smarter and more efficiently, and we support collaboration at the heart of everything we do.