Job Reference #
Do you want to work with a team of strong compliance knowledge and background? Are you interested in AML and would like to be an AML expertise?
We are looking for an AML officer and a team lead of financial crime and monitoring, surveillance and control.
• Assessing client risks during on-boarding process and approving all account openings of private banking clients as qualified due diligence officer; Analyzing cases involving sensitive persons, industries or complex structures and handle account opening requests in a comprehensive and credible manner
• Reviewing and approving hits identified in KYC process of IB on-boarding, e.g. PEP, sanction related issue, vulnerable business, negative news, etc.
• Giving compliance advisory to AML related issues, e.g. AML regulation interpretation, AML report preparation, etc.
• Making analysis and investigation in suspicious transactions and activities. Assessing AML risk of new products and providing risk mitigation solutions
• Performing e-communication monitoring, analyzing alerts and making investigation. Performing audio communication monitoring
• Conducting periodical assessment on key controls of compliance, e.g. regulatory reporting, KYC, investment suitability, personal account dealing, e-communication monitoring, etc.
Country / State
What we offer
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
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Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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.
You will be working in compliance & operational risk control department in UBS (China) Ltd. There are three teams in C&ORC, (1) business aligned C&ORC, conduct risk & framework, (2) financial crime and monitoring, surveillance & control, (3) corporate center risk control. You will be the lead of team (2).
At lease 10 years working experience in compliance
At lease 2 year experience in AML
Fluency in English speaking, reading and writing
Excellent interpersonal, communication and presentation skills, both written and verbal.
Highly organized, accurate and detail-oriented with sound judgment and integrity.
Quick learner who can adapt well to a fluid regulatory and business environment
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?