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 financial crime prevention.

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 analyzing SAR filings, customer exits, and brokerage account reviews
• 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
• 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, 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

• Leadership experience in financial crime prevention
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Experience with AI and workflow optimization

Skills

• Knowledge of AML regulations and their application
• Experience with open-source research and transaction analysis
• Effective communication and interpersonal skills
• Ability to manage multiple tasks and prioritize effectively
• Proficiency in using AI tools for workflow optimization

Benefits

UBS offers a range of competitive benefits, including:

• Flexible working options
• Disability inclusion initiatives
• Competitive salary range (USD 152,000 - USD 198,000 per annum)
• Employee benefits package
• Opportunities for professional development and growth

Pay

The indicative gross base salary range for this role is:

• New Jersey, Weehawken: USD 152,000 - USD 198,000 per annum
• New York: USD 152,000 - USD 198,000 per annum /annum

Schedule

Full-time position available.