Mohammed Hussain

Client Onboarding Wealth Management @UBS

Regular review to ensure that KYC activities are executed in compliance with the all governing regulations, internal policies and procedures. Prepare and conduct client outreach in an efficient and compliant manner and adopt a client-centric approach; ensuring transparency of the process and status of the customer file are provided to the relevant stakeholders Conduct risk assessment on Clients to determine whether they should be escalated to the Compliance team and/or senior management Review on Client documentation including Client forms, Source of Wealth evidence and client due diligence Reviewing FATCA & QI withholding tax documentation provided by the client Ensure all operational trackers required are updated to ensure accuracy of metrics; Share learnings and best practices with the team and support new team members with relevant training as assigned Actively pursues effective and efficient operations of his/her respective activities, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML risk and conduct risk, Analysis of suitability assessment completed by the Front Office team and ensuring we have documented the process accurately Responsible for the coordination of systems set up including client online access Assisting with the coordination of the team workload, particularly with regard to static data amendments. Providing guidance to Front Office teams with regards to required documentation for new clients Assisting wider Front Office Support team with central task such as regulatory projects