Process and Quality Specialist

Your role

Are you incredibly organized with an eye for detail? Do you have a high client service orientation and a high risk awareness? Do you like working with colleagues across the organization and are you good with stakeholder management? We're looking for someone like that to:
– Act as an Onboarding & KYC Advisor to client advisor on onboarding and Periodic KYC Review (PKR) cases across the WM. Understand and articulate KYC requirements and work with client advisor through the onboarding and PKR processes.
– Be proactive and respond timely to market and business partner’s queries. Facilitate exceptional handling on risk-based approach, and coordinate with Business and Financial Crime / Compliance for signoff.
Review background check screening on the client, provide support on client profile with client advisor, and gather corroboration evidence material where available. Support client advisor to ensure regulatory compliance of submitted materials from client and client advisor themself.
– Handle Periodic KYC Review (PKR) case review from start to end, including client profile updates after consulting with client advisor. Further, perform KYC profile checking activities linked to client onboarding requests and ensure client KYC information consistency with PKR Quality Checks.
– Support client advisor on non-KYC aspects of PKR (i.e. file conversion for archival, raise additional name search request to middle office, escalate for Due Diligence Officer (DDO) review, PKR case manager management.
– Think flexibly to propose new ideas and contribute to continuous improvement of processes and services.
– Be-able to act as mentor for junior teammates and cascade management message in an effective and accurate manner
– Be a trusted partner of market as well as other business partners.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Your team

This role will be part of the Wealth Management (WM) Market in Hong Kong and you’ll be working in the Front Support Office’s Onboarding & KYC Competence Center in Hong Kong. We conduct AML KYC/Client Due Diligence (CDD) on WM clients in line with the regulatory requirements and UBS group policies. The scope of work includes liaising with client advisors, business, and internal stakeholders to ensure that the account can be opened upon completion of KYC and maintained through PKR over the course of the business relationship. You are at the center of the execution of onboarding and PKR requirements and you will act as a business enabler to help UBS generate revenue.

Your expertise

You have:
– 8 to 12 years of experience in Wealth management Periodic KYC Review and/or Onboarding.
– Proven experience in client service (ideally in private banking). Highly proactive and diligent in follow up and follow through. Client focused, organized at bundling of requests and sensible on turnaround time.
– Good communication and presentation skills and ability to communicate to various levels of the organization
Broad and solid understanding of KYC/AML and have a general sense of risk awareness together with a structured and logical approach to analysis and problem-solving. Risk conscious with emphasis on sensitive data sharing. You are:
– A self-starter who can work well and client service oriented.
– A skilled written and verbal communicator. Can collaborate well with different functions and have the ability to manage stakeholder expectation.
– A dedicated team player with a can-do attitude and eagerness to learn.
– An effective worker who is able to multi-task and perform under pressure.
– Fluent in spoken and written English and Chinese.

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.