Ubs Financial Work Values

Daily Duties at Ubs Financial :

Supervised all escalated issues involving UBS products by guiding the UBS investigations team, the ultimate escalation point for all compliance and operational risk control issues. Maintained positive relationships between regulators, law enforcement, and the business, leveraging criminal justice background to enhance Risk, Compliance and BSA/AML program. Worked with Risk Assessment and Audit teams to ensure UBS’s BSA/AML program was administratively pure and compliant with industry standards and regulatory expectations. Led the team that conducted all investigations of all banking products and completed all required reporting. This included all transaction monitoring, investigations, market conduct surveillance, OFAC/Sanctions matters, Anti-Bribery and Corruption, On-Boarding/KYC, employee related matters, investigation of FinTech products such as mobile banking and mobile check deposit, lines of credit, debit cards, credit cards, prepaid cards and on-line bill pay. A member of the Compliance and Operational Risk Committee where senior leaders from the business, compliance and legal established policies and made risk versus reward determinations regarding certain client relationships. Wrote the Compliance departments policy on certain high risk issues such as marijuana/cannabis related investments, online gaming/gambling, and penny stock/micro-cap securities. Was the point of contact for regulatory and law enforcement entities and was the 314(b) contact for the firm. Led the team that handled high risk issues and reputation risk issues as they arose, matters such as the FIFA Scandal and Panama Papers leaks.

What they like about Ubs Financial :

The social vibrance of a hiring firm is very important to you. Your ability to make and maintain friendships there is a critical part of your decision. You would likely be dissatisfied with a workplace that is quiet, cold, or otherwise not particularly social. When you investigate a new hiring company, ask recruiters, managers, and potential co-workers about the social life and opportunities there. This is especially important when you are relocating; moving dramatically alters your social sphere both inside and outside the workplace.

Tags

Aml (Macro Lang), Compliance, Financial, Risk Assessment, Assessments, Banking Industry, Management, Audit, Credit Cards, Fraud

Skills

These are some of the questions we asked our climbers about their experiences with Ubs Financial :