Description
Do you want to help enhance the onboarding experience for clients? Do you have a strong understanding of AML/ OFAC regulations? Are you someone who is interested in identifying risks and offering and implementing suggestions that enhance the workplace?
We’re looking for a Client Lifecycle Manager to:
• ensure the firm and its employees conduct business in full compliance with applicable federal and state laws, as well as the rules and regulations of key regulatory bodies—including the Securities and Exchange Commission (SEC), the Federal Reserve Bank, the Commodity Futures Trading Commission (CFTC), FINRA, and other governmental agencies, self-regulatory organizations, internal policies, and recognized industry best practices
• deliver on-site onboarding support to Branch Management and Financial Advisor teams by providing training and subject matter expertise on onboarding processes, policies, and systems
• identify key risks within the current Client Lifecycle Management (CLM) process and propose future-state strategies that mitigate Anti-Money Laundering (AML) risks while enabling operational efficiencies
• provide subject matter expertise on key risks identified during the onboarding of medium-, high-, and higher-risk clients, including analysis of high-risk counterparties, reputational concerns, and politically exposed persons (PEPs)
• ensure all required customer documentation is accurately maintained in accordance with internal policies and external regulatory guidelines
• support the development, implementation, and periodic execution of key controls to strengthen process integrity and compliance
• maintain deep expertise in CLM data and documentation requirements as outlined by UBS policy
• consistently meet targets and objectives within timelines defined by Service Level Agreements (SLAs), while upholding quality standards
Detailed salary information:
• San Francisco, Pasadena: the salary range for this role is $80000 to $100000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.