UBS
Financial Crime Prevention Sanctions Officer
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Financial Crime Prevention Sanctions Officer
role at
UBS .
Role Overview Do you want to protect the financial system from direct and indirect sanctions risk? Are you someone who likes to do the right thing? Do you know how to maintain independence and objectivity?
Responsibilities
Review customers and payments for names on the global sanctions lists to ensure no transactions are processed with restricted parties on the lists.
Review and supervise real‑time payment hit handling by second‑cut review team to assess sanctions alerts and decide appropriately.
Perform searches of names on the global sanctions lists and ensure we have no accounts/clients at the firm for the subjects named on the lists.
Perform background research on entities and/or individuals using databases such as Lexis, the Internet, and coordinate with Regional and Global Compliance, Operations or Business counterparts to obtain further information on clients/accounts.
Perform sanctions controls testing with respect to list updates, alerts investigation and system reviews.
Identify and initiate list additions/updates and continuously monitor sanctions regulatory developments.
Manage payment/securities‑trading cases in case management tool.
Compile MI/metrics and participate in other ad‑hoc projects/assignments.
Escalate unusual or suspicious activities.
Complete UBS's annual BSA/AML/OFAC training.
Job Details
Salary: Washington: $91,000–$114,000; Weehawken: $111,000–$144,000.
Job type: Full Time.
Job Reference #: 323623BR.
Locations: Nashville, Raleigh, Washington, Weehawken.
Team: Financial Crime Prevention Team.
Qualifications
Ideally 4‑year college degree or international equivalent.
Ideally 5+ years of Sanctions/AML experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank.
Experience in Microsoft Excel including use of v‑look‑up, pivot tables and macros a plus.
Prior knowledge and ability to execute a variety of other computer‑based and proprietary systems including LexisNexis, Internet Explorer, other MS Office applications, and compliance‑related databases.
Excellent verbal/written skills and analytical, technologically advanced.
Analytical/critical thinking skills, able to provide practical solutions; able to prioritize diverse workload with multiple deadlines.
Result‑oriented and assertive (you don’t shy away from challenging situations).
Detail‑oriented with ability to multi‑task and change directions based on business demands.
Self‑starter with initiative to work independently, as well as with others.
About UBS UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset‑management solutions and focused investment‑banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.
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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Financial Crime Prevention Sanctions Officer
role at
UBS .
Role Overview Do you want to protect the financial system from direct and indirect sanctions risk? Are you someone who likes to do the right thing? Do you know how to maintain independence and objectivity?
Responsibilities
Review customers and payments for names on the global sanctions lists to ensure no transactions are processed with restricted parties on the lists.
Review and supervise real‑time payment hit handling by second‑cut review team to assess sanctions alerts and decide appropriately.
Perform searches of names on the global sanctions lists and ensure we have no accounts/clients at the firm for the subjects named on the lists.
Perform background research on entities and/or individuals using databases such as Lexis, the Internet, and coordinate with Regional and Global Compliance, Operations or Business counterparts to obtain further information on clients/accounts.
Perform sanctions controls testing with respect to list updates, alerts investigation and system reviews.
Identify and initiate list additions/updates and continuously monitor sanctions regulatory developments.
Manage payment/securities‑trading cases in case management tool.
Compile MI/metrics and participate in other ad‑hoc projects/assignments.
Escalate unusual or suspicious activities.
Complete UBS's annual BSA/AML/OFAC training.
Job Details
Salary: Washington: $91,000–$114,000; Weehawken: $111,000–$144,000.
Job type: Full Time.
Job Reference #: 323623BR.
Locations: Nashville, Raleigh, Washington, Weehawken.
Team: Financial Crime Prevention Team.
Qualifications
Ideally 4‑year college degree or international equivalent.
Ideally 5+ years of Sanctions/AML experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank.
Experience in Microsoft Excel including use of v‑look‑up, pivot tables and macros a plus.
Prior knowledge and ability to execute a variety of other computer‑based and proprietary systems including LexisNexis, Internet Explorer, other MS Office applications, and compliance‑related databases.
Excellent verbal/written skills and analytical, technologically advanced.
Analytical/critical thinking skills, able to provide practical solutions; able to prioritize diverse workload with multiple deadlines.
Result‑oriented and assertive (you don’t shy away from challenging situations).
Detail‑oriented with ability to multi‑task and change directions based on business demands.
Self‑starter with initiative to work independently, as well as with others.
About UBS UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset‑management solutions and focused investment‑banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.
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.
#J-18808-Ljbffr