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Glen Head, NY
February 24, 2020

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**** **** ******, ******* ** *1103 (516) 567 – 3535 Linkedin


Highly enthusiastic and results-oriented graduate with keen entrepreneurial, communication, and cross-cultural skills

(bilingual − Spanish/English). Possess the self-motivation and intellect necessary to excel in fast-paced and challenging environments. Consistently exceed stated goals by providing full support to team and organizational efforts. Thrive under pressure in all settings, especially in an unsupervised environment. EDUCATION:


Bachelor of Science in Management with a concentration in Finance, May 2013 PROFESSIONAL EXPERIENCE:

UBS FINANCIAL WEALTH MANAGEMENT – New York, NY July 2019- Current International Client Onboarding – Client Risk Associate (Private Bank)

• Reviewed incoming documentation for new clients according to ensure that they comply with UBS KYC/Anti-Money Laundering Program (AML) policies and facilitated an smooth transitioning to open accounts in a faster and efficient

• Analyze complex structures such as Funds, Trust, Personal Investment Companies, Limited Partnerships, Limited Liability Companies, Operating Companies, Foundations and Publically traded companies

• Liaise with internal teams to discuss UBS KYC/AML/CAMLO requirements on policies, sanctions, documentation & negative news and approach a solution to onboard a new/existing client

• Performed an enhanced due diligence KYC review on clients using Cosima Searches, Lexis Nexus & Internet Searches J.P MORGAN & CHASE – Brooklyn, New York September 2016-July 2019 KYC/AML Onboarding Analyst LATam – Asset Wealth Management (Private Bank)

• Complete extensive due diligence investigation using private and public databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business units and prevent operational and reputational risk such as CDD, ADD, Political Exposed Person (PEP),OFAC and High Industries

• Verifies all aspects of Client Identification Program (CIP) and necessary account opening documents that are provided and are in accordance with Know Your Customer (KYC), the U.S. Patriot Act, and the Bank Secrecy Act (BSA).

• Execute and review negative media alerts from client screening using CSS/Bridger and escalate the mitigating factors in ordered to complete the onboarding for the high/very high risk clients.

• Review and mitigate suspicious incoming/outgoing wire transactions to several High Risk/ Very High Risk countries

• Ensured that clients accounts are up to standards & comply with applicable guidelines and regulations by the OCC

• Performed transactional monitoring and analysis for possible money laundering and terrorist financing to ensure compliance with the BSA and USA Patriot Act

UBS FINANCIAL WEALTH MANAGEMENT BRANCH–Weehawken, NJ November 2015 - August 2016 Equity Plan Advisory Service (EPAS) Client Service Associate

• Support internal and/or external Wealth Management Americas clients in the Banking/RMA/OLS support areas

• Provide published stock quotes, disbursement requests or payments related history. Online Trading assistance, and information regarding their accounts

• Assisted with customer’s questions relative to employee stock programs (stock options, employee stock purchase programs, stock appreciation rights, restricted stocks and performance awards)

• Support internal and/or external Wealth Management Americas clients in the Banking/RMA/OLS areas PROFESSIONAL EXPERIENCE:

• Microsoft Word * Excel * PowerPoint * One Note * Outlook *Fluent in Spanish * V-look ups *Bloomberg Terminal PROFESSIONAL ASSOCIATIONS:

• Prospanica – The Association of Hispanic Professionals

• Association of Latino Professionals in Finance & Accounting (ALPFA)

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