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Karriere und Ausbildung Vacancies
Offene Stelle :
WM Client Review Specialist - Zurich
Zweigstelle :
Zürich
Eintrittsdatum :
01.12.2023
Arbeitszeit :
100%
Domain :
WM_Business Risk Management
 

WM Client Review Specialist - Zurich

Description

Wealth Management (WM) As it plays such a major part in our strategy, we are investing significantly in Wealth Management to fuel our growth, particularly in Europe (onshore), the Middle East, Latin America and Asia. We provide a complete range of private banking products and services, including a variety of investment management and advisory mandates, tailored to our clients's specific requirements, objectives and risk profiles. Among UBP professional partners, over 300 independent asset managers have chosen us as their custodian bank, valuing our personalised, flexible services and our transparent fee structure.

Mission

The WM Client Periodic Review team is reporting to the Head of WM Business Risk & Reporting, facilitating close but independent interactions with WM Front Office and Management.

Challenges

Perform 360° client periodic relations reviews with regards to KYC, KYT Adverse news screening, SOW/SOF corroboration and notably CDB-related documentation, applying the Bank’s standards, identifying potential reputational, regulatory, sanction and money laundering related risks through evaluation of client accounts purpose, KYT and KYC completeness, plausibility and accuracy, Provide from time-to-time guidance on quality standards and regulatory requirements to assigned Relationship Managers when necessary,

Main responsibilities

Objectives

  • Ensure adequate AML and KYC, KYT, documentary accuracy (CDB) and adverse news screening risk mitigation on client reviews as well as the completeness of corroboration, according to the Bank’s Qualitative risk appetite, SOW/SOF corroboration standards and KYC standards
  • Raise and escalate any deviation to the adherence to the Bank’s standards to the relevant management, control functions and/or committees
  • Synchronize with Compliance and Client Documentation teams to ensure standards are met
  • Increase risk awareness within the WM Markets by ensuring that RMs and Team-leaders are aware of internal directives, of the regulatory requirement and updated on all new practices with a focus on AML, CDB and Sanction subjects and/or other investor protection or tax documentation
  • Upon management’s request, act as a relay of authority within the WM Markets on certain initiatives
  • Raise and escalate any other identified risks
  • Any other task required by management relating to the mission of the employee

Governance

  • Regular meetings with appropriate 2nd Line of Defense functions to ensure consistency of knowledge and practices
  • Regular meetings with WM Relationship Managers to review the ongoing subjects and propose action plans for long standing review issues
  • Regular reporting on activity and associated risks

Education

  • Education: Master Degree
  • Technical skills: Proven ability to work efficiently with Front Office

Experience

  • Years of experience: 3-7 : intermediate
  • Experience required: • Minimum 3 years of professional experience within the banking sector, ideally relating to Compliance and Conformity functions • A detailed background and knowledge of Swiss AML and CDB regulatory frameworks and requirements to complete periodic reviews • Sensitivity to other regulatory matters such as International Sanctions, Financial Crime, Cross Border matters, Tax and/or Investor protection frameworks a plus • Ability to recognize CDB document requirements and inform Relationship Managers of any inconsistencies or needs
  • Experience in private banking: Mandatory

Language

  • English: Fluent
  • German: Intermediate

Personal skills

  • Swiss resident: Mandatory

• Quality and timely delivery orientated • Synthetic and pragmatic, with a good analytical spirit • Ability to efficiently manage priorities • Be able to work independently but also as a team • Assertive, open and constructive communication (written and verbal) • Think in "Problem-Action-Results" terms • Maintain high quality standards • Strong social skills

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