Client Lifecycle Analyst at UBS Group AG

Do you want to help enhance the onboarding experience for clients? Do you have a strong understanding of AML/ OFAC regulations? Are you someone who is interested in identifying risks and offering and implementing suggestions that enhance the workplace?

We’re looking for a Client Lifecycle Manager to:

• ensure the firm and its employees conduct business in full compliance with applicable federal and state laws, as well as the rules and regulations of key regulatory bodies—including the Securities and Exchange Commission (SEC), the Federal Reserve Bank, the Commodity Futures Trading Commission (CFTC), FINRA, and other governmental agencies, self-regulatory organizations, internal policies, and recognized industry best practices
• deliver on-site onboarding support to Branch Management and Financial Advisor teams by providing training and subject matter expertise on onboarding processes, policies, and systems
• identify key risks within the current Client Lifecycle Management (CLM) process and propose future-state strategies that mitigate Anti-Money Laundering (AML) risks while enabling operational efficiencies
• provide subject matter expertise on key risks identified during the onboarding of medium-, high-, and higher-risk clients, including analysis of high-risk counterparties, reputational concerns, and politically exposed persons (PEPs)
• ensure all required customer documentation is accurately maintained in accordance with internal policies and external regulatory guidelines
• support the development, implementation, and periodic execution of key controls to strengthen process integrity and compliance
• maintain deep expertise in CLM data and documentation requirements as outlined by UBS policy
• consistently meet targets and objectives within timelines defined by Service Level Agreements (SLAs), while upholding quality standards

Detailed salary information:
• San Francisco, Pasadena: the salary range for this role is $80000 to $100000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Pasadena, San Francisco

Full Time

United States - California

Business management, administration and support

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.

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

You'll be joining our KYC Operations team, which focuses on driving strategy, implementation, and oversight for the KYC program within the WM US line of business. This role is based out of San Francisco or Pasadena. We work collaboratively with our business partners, WM field leadership, and Second Line Compliance partners to ensure that our Financial Advisors serve their clients in accordance with regulatory requirements.

• ideally 5 or more years of experience in AML/KYC laws, rules, and regulations related to BSA/AML requirements, including the Bank Secrecy Act, USA PATRIOT Act, FFIEC Examination Manual, and FinCEN Customer Due Diligence (CDD) Rule
• bachelor or international equivalent required; ACAMS Certification and Licenses: (Series 7, 9/10) a plus
• strong knowledge of AML/OFAC regulations with proven ability to engage stakeholders at all levels of seniority across Compliance, Risk, and Legal functions
• AML/Compliance, Risk Management and/or Legal Background
• strong understanding of Wealth Management, broker dealer products, and various banking products and services
• excellent written and verbal communication skills, with strong analytical thinking and the ability to work independently or collaboratively in a fast-paced environment
• proficiency in Mandarin or Cantonese a plus

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

We may request you to complete one or more assessments during the application process. Learn more

US Only: The expected salary range for this role is $80000 to $100000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.