【UBS】Financial Crime Prevention Officer
仕事内容
Your role
We are looking for someone like that who can play a key role in Financial Crime Prevention (FCP) areas mainly covering Anti-money Laundering (AML), Know-Your-Client (KYC), Sanctions, Anti-Bribery & Corruption and Fraud focusing on the Global Wealth Management (GWM) and Investment Banking (IB, Global Banking and Global Markets) divisions.
• support the growth of GWM and IB divisions especially on the strategic business project by taking leadership in the second line of defense
• keep abreast of regulatory development and changes and assess the impact to the existing framework and maintain robust control framework including implementing and updating global and/or local policies and procedures
• perform account opening KYC review and periodic controls in a timely manner
• support the preparation/follow up on internal/external audit and regulatory inspections
• provide constructive advices and challenges to the 1st line of business
• work in partnership with the regional and global FCP colleagues as well as the business stakeholders in the 1st line of defense
• plan and provide FCP related training
• Perform Quality Assurance and/or Validation on the effectiveness of AML/CFT and Sanctions monitoring/screening tools
• Review the Gift &Business Entertainment requests raised by the business
• Handle the Fraud reports/referrals raised from internal/external parties
• Handle the Legal Enforcement Bodies and regulators inquiries
This role is possible for hybrid work after probation period.
Your team
You will join as a member of Japan Financial Crime Prevention team within Compliance & Operational Risk Control. The team will closely work with regional and global FCP colleagues.
応募資格(必須経験など)
Your expertise
• graduate degree with ideally over 5 years of role at banks and/or securities firms in the area of AML/KYC (pertaining to Wealth Management/Private Banking is preferred) preferable in Compliance
• good understanding of AML/KYC related local laws and regulations as well as international standards (AML related qualifications such as CAMS is desirable)
•Testing and QA knowledge and experiences are preferable.
•SWIFT, BOJNET and ZENGIN payment knowledge and experiences are preferable.
• understanding the relevant banking and/or securities business and regulations (JSDA internal control manager qualification required)
• native level Japanese and business level English skills
• good communication skill and collaborative manner to work as a team member
• confidence to challenge the status quo and demonstrate strong risk awareness
• collaborative approach to achieve goals, ready to take initiatives, actively share information and willing to undertake new challenges
• good Microsoft Office skills