New Business Conflicts Analyst
The Responsibilities
- 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 analyzing hits with the view to identifying potential legal, regulatory, compliance and or reputational risks.
- Working with Legal, Compliance and the business to resolve identified risks in a timely and efficient manner.
- Managing files independently and conferring with senior members within the team on complex conflict issues.
- 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.
- Recording and documenting conflict clearance and KYC approvals, and maintaining internal databases.
- Prioritizing workload to ensure commercial deadlines are met.
- Providing advice to the business and dealing with ad hoc KYC and Conflict queries as they arise.
Required
- Law background
- Previous practical experience in a KYC/AML Compliance function gained in a large financial services or legal firm OR/AND working knowledge of compliance and conflicts of interest principles.
- 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
- Strong relationship building and diplomatic skills
- 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
- Prior experience in an investment bank
- Knowledge of investment banking products and transactions
- Law background
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.
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