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 managing 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 and overseeing customer exits, performing customer reviews on brokerage accounts/relationships, and preparing reports and recommendations
• Review escalated customers, including large complex relationships and sensitive clients, documenting pertinent facts and information, and 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
• Knowledge of key wealth management international markets and related financial crime risks, especially in Spanish and Mandarin (preferred)
• Ability to handle sensitive information with a high degree of discretion
• Proficiency in communicating 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

• Expertise in AML compliance and regulatory requirements
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Experience with regulatory reporting and investigations
• Ability to work independently and as part of a team

Skills

• Strong knowledge of AML regulations and their application
• Effective communication and interpersonal skills
• Ability to handle sensitive information with discretion
• Proficiency in open-source research and transaction analysis
• Experience with regulatory reporting and investigations

Benefits

UBS offers a range of competitive benefits, including:

• Indicative gross base salary range: $152,000 - $198,000 per annum
• Flexible working options
• Disability inclusion initiatives
• Employee benefits package

Pay

The indicative gross base salary range for this role is:

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

Schedule

Full-time position