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Your role The Americas Head of Governance and MIS reports to the Americas Head of Financial Crime Prevention (FCP) and is responsible for the design and oversight of all FCP Governance and MIS activities for UBS's Combined US Operations (CUSO) across the IHC lines of business (Investment Bank, Asset Management and Wealth Management Americas (WMA)).
The Americas Head of Governance and MIS is responsible for:
Driving the day-to-day running of the FCP function, ensuring we are operating effectively and efficiently across our mandate
Driving program enhancements by working collaboratively with all members of the program and coordinating with global cross-function teams to identify, prioritize and facilitate execution of potential enhancements to the FCP program
Providing leadership, training, mentoring and development to FCP Governance and MIS managers and staff, and serving as an escalation point for resolving Governance & MIS issues
Assessing, creating and gaining signoff on key project management tools such as; project plan, charter, stakeholder management plan, risk & issues log, communication plan and governance structures
Driving solution delivery within FCP team to ensure that solutions are aligned with business objectives, regulatory expectations, internal standards, and industry practices
Establishing the right frameworks and policy to ensure that all of the CUSO's Governance & MIS activities are carried out in compliance with BSA/AML, Sanctions and A&BC regulations and internal policies
Overseeing administrative and planning activities for direct teams, including, but not limited to, budgeting, resource requirements, talent development and succession planning
Ensuring appropriate hiring of staff against requisite skill set needs and with the right experience, background and stature to effectively execute the CUSO's FCP Governance and MIS activities
Providing subject matter expertise in FCP Governance and MIS
Managing relevant inquiries from regulators and law enforcement
Applying strong knowledge of AML regulations to ensure compliance with the Bank Secrecy Act leveraging efficient, risk-based technology solutions
Leading in the preparation of all reporting activities across the FCP program, providing in-depth support with interpretive thinking to define problems and develop innovative solutions
Supporting the Head of Americas FCP in preparing reports, communications and presentations for senior executives and board of directors
Reviewing and provide quality assurance over exam response submissions
Complete UBS's annual BSA/AML/OFAC training
Your team The Americas Head of Governance and MIS will work in the Americas FCP team in New York, NY, Weehawken or Jersey City, New Jersey, or Nashville, Tennessee. This is a dynamic, driven and diverse team of professionals, with oversight responsibility helping UBS in the fight against money-laundering, fraud, corruption and terrorist financing.
Your expertise You have:
A Bachelor's degree in a relevant area of study required, advanced degree (MBA, JD) preferred
10+ years of prior BSA/AML compliance or related regulatory or financial crime experience with an investment bank, private bank and/or brokerage business or comparable, relevant experience at a law firm, regulatory agency, financial institution, major consulting firm or in law enforcement related to operational and control functions on a large scale
Proven recent experience in a senior anti-money laundering compliance role in the securities or banking industry is preferred
Certified Anti-Money Laundering Specialist (ACAMS) / Certified Fraud Examiner (CFE) / Certified AML and Fraud Professional (CAFP) is a plus
Solid experience in interacting with regulators, including the SEC, FinCEN, FINRA, FDIC, FRBNY and OCC
Strong communication and networking skills
Experience handling sensitive information with a high degree of discretion
Able to provide strong leadership to a team of direct reports and influence stakeholders at peer level and upwards
Able to interact with, and present to senior management and regulators
Team-orientated with strong interpersonal and communication skills, and able to manage conflict and pressure in a demanding environment
Able to be flexible and capable of prioritizing based on business demands
About us Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
Join us We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
Disclaimer / Policy Statements 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.
Internal Number: 5879654
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