WILLIAM M. JENKS

* ***** ****

New City, NY *****

Home 845-***-**** Cell 914-***-****

Email adlqps@r.postjobfree.com

PROFESSIONAL PROFILE

Self-motivated senior-level professional with over 20 years of domestic and international Experience in the financial service industry. Offering strong leadership skills with an Extensive background in AML Compliance and Risk Management. PROFESSIONAL EXPERIENCE

UBS AG, Investment Bank (UBS SECURITIES LLC, UBS STAMFORD BRANCH) Stamford, CT (June 2010 - June 2013)

Compliance Director - AML - Client Identification Program (CIP)

• Served as Local Team Leader of the five member CIP team and Local Representative of the Global CIP Committee.

• Coordinated with business units, on-boarding teams, and data management group on AML/CIP related issues.

• Reviewed and approved all higher risk, PEP, and correspondent bank accounts.

• Transaction monitoring/client onboarding of all higher risk, PEP, and correspondent bank accounts.

• Ensured AML program and ad hoc AML initiatives were properly implemented and carried out.

• Conducted periodic reviews of new account openings, entitlements for existing accounts, foreign bank certifications, and reliance letters.

• Provided targeted training to on-boarding teams and data management group. Trained all on-boarding teem members to enhanced due diligence measures for new and exiting clients.

• Investigated alleged employee misconduct according to internal compliance program as needed.

UBS BAHAMAS LTD. / UBS TRUSTEES BAHAMAS LTD. / UBS TRUSTEES CAYMAN LTD.

Nassau, Bahamas (Aug 2009 -Feb 2010)

Interim Chief Compliance Officer/Director

• Served as Senior Management of the five local Compliance staff.

• Served as a member of the Senior Management Committee.

• Reviewed and amended AML compliance procedures as needed.

• Reviewed prior outstanding internal audit issues while preparing for the upcoming internal audit.

• Trained local AML compliance team on the newly implemented policies for the in-house compliance transaction monitoring/client onboarding procedures.

• Performed KYC/Enhanced Due Diligence reviews on new account openings. UBS AG, Wealth Management

New York, NY (July 2000 - June 2010)

Compliance Director - AML

• Responsible for reviewing and approving all private bank accounts including high risk and sensitive client to insure compliance with UBS/Federal/State rules and regulations.

• Supervised and provided annual staff evaluations of the compliance team.

• Filed suspicious activity reports (SAR’s) to proper federal agencies as needed.

• Trained all private bank personnel annually on transaction monitoring/client onboarding as well as AML/KYC policies and procedures.

Bank of New York

White Plains, NY (March 1994 – July 2000)

Senior Compliance Administrator/Interim BSA Officer

• Interim BSA Officer, supervising the fifteen members of the SAR group, Currency transaction reporting (CTR’s) group, and the transaction monitoring group.

• Reviewed suspicious and unusual transactions to report to the proper federal agencies as needed.

• Trained all branch personnel annually on AML/BSA/KYC policies and procedures. Bank of New York

Harrison, NY (January 1993 - March 1994)

Branch Auditor

• Performed operational audits at various branches in the New York Metropolitan area.

• Acted as Examiner in charge by preparing summary report for management while monitoring open audit issues.

• Verified that audited branches were in compliance with Bank of New York/Federal/State rules and regulations.

EDUCATION SIENA COLLEGE Loudonville, NY

Bachelor of Science / Finance (May 1991)

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