KYC Client Onboarding Specialist

UBS - Nashville, TN

Full-time - Entry Level

Nashville, TN

1,001-5,000 employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The KYC Client Onboarding Specialist role at UBS is a full-time position focused on supporting Institutional Client Onboarding for the Investment Bank. This client-facing role involves gathering and analyzing KYC information to ensure a smooth onboarding experience for institutional clients. The ideal candidate will demonstrate strong communication skills, a client service mindset, and the ability to work both independently and collaboratively within a team.

Responsibilities

• Perform basic and enhanced KYC due diligence for new and existing UBS clients.
• Review incoming documents for clients in accordance with UBS KYC/Anti-Money Laundering Program (AML) policies.
• Conduct background checks and evaluate negative news related to existing clients and prospects.
• Manage competing priorities, provide explicit directions and establish clear expectations for stakeholders.
• Develop a deep understanding of UBS Investment Bank products and services.
• Familiarity with various legal entity types, understand and articulate ownership chains and organizational structures of varying complexity.
• Maintain working knowledge of appropriate BSA and OFAC laws and regulations.
• Understand Customer Identification Program (CIP) and Customer Due Diligence (CDD) requirements and related procedures.
• Understand the five pillars of an effective AML program.
• Be an active risk manager, recognize the factors that impact client risk rating and due diligence requirements.
• Work cross-functionally with internal teams to discuss changes or updates to UBS KYC/AML requirements, policy, and procedure.
• Recommend, develop, and implement solutions to support continuous improvement of our processes, procedures, and services.
• Appropriately escalate issues to management, compliance, and the business.
• Handle sensitive and confidential information in accordance with firm policy.

Requirements

• BA/BS degree in Finance, Business, Legal Studies, and/or similar discipline.
• 1-3 years of relevant experience, preferably working in financial services, compliance, or law.
• Ability to analyze client information and documentation to facilitate account opening.
• Understanding of rules, regulations, and regulatory requirements (BSA / US Patriot Act / OFAC / Dodd Frank).
• Strong organizational/time management skills and attention to detail.
• Exceptional written and verbal communication skills.
• Ability to work well under pressure and handle challenging deadlines.
• Resilient team player with a can-do attitude.
• Knowledge of investment bank products and industry trends.

Benefits

• Flexible working arrangements including part-time, job-sharing, and hybrid working options.