Lov Bernard
Anti-Money Laundering Observation and Verification | CAMS (In Progress) - Former Law Enforcement
- Role
- Aml Kyc Advisor Onboarding at UBS
- Location
- Houston, TX, US
- LinkedIn followers
- 500 followers
About Lov Bernard
With 12+ years in finance and compliance, I specialize in helping financial institutions…
Experience
Aml Kyc Advisor Onboarding
Jan 2020 — Present · Houston, TX, US
Dropped into a high-risk transition environment during COVID-era market volatility to lead advisor onboarding and compliance execution at UBS. Managing Directors and SVPs were in motion, deadlines were fixed, and legacy systems were fully manual—threatening accounts and $7.2B in deal closures, risking regulatory breach. I engineered a fully remote onboarding process under SEC, AML, KYC, OFAC, BSA, and FINRA regulations, leveraging ServiceWorks, Excel, DocuCapture, COSIMA, Lexis Nexis, and ACAT systems. This pivot prevented project shutdown, ensured business continuity, and cut pre-COVID onboarding timelines by over 1.5 years during one of the most volatile periods in modern financial markets. The new system enabled seamless book transfers across $B+ portfolios. I also played a key role in the firm’s transition of over 200 SPAC accounts, contributing to S-1 filing preparation (sections 101–507 and Reg S-X) in collaboration with Legal and Finance teams, while supporting Pre-IPO SEC submission and post-filing onboarding workflows. The system I built remains in use today—legacy infrastructure that reduced delays and errors, accelerated account onboarding from two weeks to same-day execution, and established continuity planning protocols that eliminated paper dependency.
Education
MIT Sloan Executive Education
Digital Business Executive Certificate, Artificial Intelligence
2026
University of Houston, C.T. Bauer College of Business
BBA, Accounting and Finance
2013 — 2015
High School for Law And Justice
Diploma, Law Enforcement
2001 — 2005
University of Houston, C.T. Bauer College of Business
Bachelor of Business Administration (BBA), Entrepreneurship
2010 — 2013
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