Job ref no.: CT3115703-01#7011

Due Diligence Officer


Do you have sharp analytic skills? Are you a stickler for getting things right?

We are looking for a Due Diligence Officer to:

  • conduct enhanced due diligence on high risk client on-boarding requests, including identification and assessment of any financial crime risks, reputational risks and the plausibility and corroboration of source of wealth
  • liaise confidently with the front office staff, KYC teams and colleagues in business lines to coordinate the assessment and provide a final decision
  • conducting enhanced due diligence on newly higher risk clients at least quarterly, including review of the account activities and assessment of any financial crime risks and reputational risks that are emerged in the existing relationships
  • communicate decisions to Business Heads on whether the relationships can be retained or terminated amid change of risk level in structural and detailed manner
  • provide subject matter expert advices to Business on financial crimes topics arisen at on-boarding stage and during client life-cycle
  • review the way financial crime policies and procedures are executed at various stages in the client life-cycle to ensure adherence to applicable KYC and Financial Crime due diligence standards
  • report any findings and following them through to resolution
  • working both within the financial crime team and the business to deliver on strategic projects and commitments

You’ll be working in the Financial Crime team mainly in Hong Kong as well as possibly other locations in APAC. We offer an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.

  • at least 2 years of relevant experience
  • a good understanding of the compliance issues and private banking industry
  • good general knowledge of relevant AML regulations in key jurisdictions in Asia including Hong Kong and Singapore. Other Compliance knowledge and experience a plus
  • a collaborative approach to achieving goals, ready to take initiatives, actively share information, and be willing to undertake a variety of roles within Financial Crime team as required
  • an ability to build and sustain strong relationships with business staff and management and with colleagues in the team, locally, regionally and globally
  • good Microsoft Office skills. Knowledge of monitoring systems a plus
  • ability to critically challenge the status quo with an independent mindset
  • reliable and resilient (challenging situations and conversations don’t scare you)
  • fluent in English and Mandarin

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?
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Why UBS? Video
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply Now.
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.

Interested parties please send full resume by clicking Apply Now.

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More job information
Job ref no. CT3115703-01#7011
  • N/A
Job Function
Employment Term
  • Full-time
  • 2 years - 7 years
Career Level
  • Non-management level
  • N/A