Dhiene Lott

• Executed 'Know Your Customer' (KYC) activities, regulatory requirement reports, and remediation of the branch delivering the compliance program for anti-money laundering, anti-bribery, sanctions, Cross Border, Fiscal Compliance, and related disciplines;
• Identify key risks in the current client lifecycle management process, and recommended strategies for future state design to mitigate AML risk while operating efficiency levers and reduce account opening lead times;
• Conduct initial analysis of new account EDD packages;
• Explained AML policy for the Front Office, ensure KYC standard/policy is consistently applied in the Front Office;
• Ensured client vetting data and document processing comply with regulations, guidelines, standards and UBS policies for all new accounts, whiles assisting in the understanding of the documentation and structure of entities;
• Reviews required EDD documentation in accordance with Combined US operations policy and procedures;
• Completion of Final Due Diligence Checklist and negative news searches using Lexis Nexis, COSIMA, and Equifax;
• Assisted other teams with document review and quality control in the PKR's and Cross border projects;
• Execute account maintenance updates
• Worked with international and domestic branches.

• Review documents of complex structures with multiple layers of ownership;
• Identify the beneficial owners, authorized signers, control person, based on documents received;
• Review documents provided by clients from domestic and foreign entities, such as corporations, partnerships, LLC's, funds, and trusts, among others, both in English, Spanish and Portuguese assuring that all meet firm's policies and procedures
• Perform quality assurance reviews and approve Due Diligence review completed by KYC managers;
• Interact daily with Financial Advisors, Compliance, and Legal, on account documentation inquiries or issues to ensure the timely opening and updating of accounts, and help branches resolve outstanding issues regarding documentation and policies;
• Liaise with branch management teams and Legal to ensure appropriate account opening and additions of products to existing accounts for cross-border resident clients, and communicate process to branches, including branch management teams, financial advisors, and client service associates;
• Research corporate laws of different countries to ensure all required documentation is received, while ensuring that products and services requested by clients are in-line with the laws of the country in question;
• Work on assisting with the account closing process if the client failed to meet the firm's account opening guidelines;
• Trained a newly-hired employee in the International Document Review and Research group on how to perform daily processes

• Review documentation of domestic and foreign entities, such as corporations, partnerships, LLCs, and trusts, in English, Spanish and Portuguese;
• Maintain, process, and validate client account documentation and records for new and existing private banking clients, including account applications, tax forms, portfolio management agreements, corporate resolutions, power of attorney, partnership agreements, etc., assuring the timely and accurate review of all client account documentation;
• Ensure that KYC, AML, Fiscal Compliance, FACTA, and Cross Border policies are followed as quality control;
• Interact daily with Client Advisors, Compliance and Legal on account documentation inquiries or issues to ensure the timely opening and updating of accounts, and help branches resolve outstanding issues regarding documentation and policies;
• Work closely with Legal and Compliance teams to resolve AML, Cross Border, or any other issues that occur during the account opening process;
• Liaise with branch management teams and Legal to ensure appropriate account opening and additions of products to existing accounts for cross border resident clients, and communicate process to branches including branch management teams, financial advisers, and client service associates;
• Research corporate laws of different countries to ensure all required documentation is received, while ensuring that products and services requested by clients are in-line with the laws of the country;
• Open accounts on the multi-currency platform;
• Support other teams by translating documents from Portuguese to English

• Reviewed and analyzed legal documents, including emails, contracts, spreadsheets, and other financial documents, for discovery in a large, complex case using Relativity platform;
• Determined which issues applied to each document, and coded the documents accordingly;
• Reviewed and determined if the document was responsive to the issues in the case and determined if any type of attorney-client privilege applied

*This position was temporary- contract.