KYC
UBS is a leading global financial services firm. Our Investment Bank is one of the world’s top global investment banking and securities firms, providing a full spectrum of products to institutional and corporate clients, intermediaries, government and hedge funds worldwide.
We are looking for someone with Front office experience who can be responsible for facilitating the Know Your Client (KYC) process for new corporate finance transactions. The position requires heavy interface with CCS Banking Staff, Legal and Compliance and client on-boarding. The position will be located in London.
The Responsibilities
- Coordinating the KYC and account opening process for new clients where necessary, including:
- Assessing each client onboarding request and applying the necessary risk rating and the appropriate level of due diligence to ensure that the relevant AML and MIFID regulations are satisfied.
- Liaising with the business to assist in the gathering of relevant documentation for the purposes of setting up new client accounts.
- Working closely with the regional Onboarding and AML Compliance teams for resolution of any KYC bottlenecks in order to ensure business deadlines are met.
- Assisting with the drafting and obtaining approvals or exceptions to policy, from Client Onboarding, AML Compliance and CCS Management, when necessary (Exception Requests, PEP Approval Forms).
- Resolving any issues arising from the vetting and account opening processes in a professional and efficient manner, escalating promptly when necessary.
- Where necessary being involved in the conflict clearance process.
- Understanding, and reviewing a variety of corporate finance transactions (including MA, Equity Capital Markets, Debt Capital Markets, and Global Syndicated Finance) for conflicts of interest, including:
- Conducting conflict checks by searching various databases, and analysing hits with the view to identifying potential legal, regulatory, compliance and or reputational risks.
Required
- Degree level education
- Previous practical experience in a KYC/AML Compliance function gained in a large financial services or legal firm
- Ability to responsibly handle and manage confidential information
- Excellent verbal and written communication skills, with ability to explain complicated concepts in a clear, concise and professional manner
- Strong time management, organizational and multi-tasking skills, with ability to prioritize multiple tasks to ensure varying commercial deadlines are met
- Ability to work under pressure with accuracy
- Willingness to work non-standard hours as needed to meet deal deadlines
- Proficient in Word, Excel and PowerPoint, with ability to quickly up skill on other databases and software
Desirable
- Knowledge of investment banking products and transactions
- Prior experience in a front office KYC function
We can offer you an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.
If you would like to work for a global organization where individual contribution counts and where your ambitions and abilities can make a difference, please apply for this position. It starts with you.
UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.
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