Senior AML Officer - Wealth Management Americas

Your role

Do you want to have a leadership role in preventing criminals and terrorists from abusing the financial and legislative systems? Are you the type of person who can lead a team in the development of a program to prevent financial crimes? Are you an individual capable of undertaking a demanding yet rewarding role?

• Serve as an AML Officer for Financial Services (FS), Wealth Management USA International division of UBS, helping to lead and coordinate the delivery of a comprehensive AML program.
• Apply knowledge of AML regulations to ensure compliance with Bank Secrecy Act.
• Serve as the point of contact for the AML Investigations team for the broker dealer to review SAR filings, oversee customer exits, perform customer reviews on brokerage accounts/relationships by prioritizing, identifying, researching, analyzing and providing reports and recommendations related to negative information, activity and trends.
• Perform review of escalated customers, including large complex relationships and sensitive clients.
• Document all pertinent facts and information, summarizing actions, findings and recommendations for next steps for Chief AML Officer review.
• Recommend clear and concise referrals to the Financial Intelligence Unit for further investigations and potential SAR filing.
• Assist with the preparation and delivery of ad-hoc BSA/AML and OFAC compliance training based upon changes in regulatory requirements and/or emerging typologies.
• Complete UBS's annual BSA/AML/OFAC training.

Full Time

330986

Nashville, New York, Raleigh, Weehawken

You will be working with the FS AML Officer team within Americas Financial Crime Prevention (FCP). The FCP team helps UBS in the fight against money-laundering, fraud, corruption and terrorist financing.

• Ideally 4-year college degree or international equivalent.
• Ideally 8+ years of prior AML compliance or related regulatory experience with a significant amount of that time related to broker dealers (preferred) or equivalent experience at a law firm, regulatory agency, financial institution, major consulting firm or in law enforcement.
• Previous experience conducting open source research, reviewing activity in brokerage accounts, including analyzing complex transactions to detect patterns, trends and anomalies.
• Understanding of applicable BSA/AML regulations and their application at a broker dealer/financial institution.
• Understanding of key wealth management international markets and related financial crime risks is strongly preferred; allied proficiency in a foreign language a plus (ideally Spanish and/or Mandarin).
• Experience handling sensitive information with a high degree of discretion.
• Able to communicate professionally with, and present to, all levels of management and regulators, market executives and financial advisors.
• Team-oriented with strong interpersonal skills, able to calmly manage conflict and pressure in a demanding, high-volume environment.
• Curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.

• United States
  - New Jersey
  - Weehawken: min USD 152,000 - max USD 198,000.
• United States
  - New York
  - New York: min USD 152,000 - max USD 198,000 / annum.

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit  We may, at our sole discretion, provide additional variable compensation or awards.

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.