Joshua Brown
Chicago,IL
Overview
5
5
years of professional experience
1
1
Certification
Work History
KYC Analyst, Specialized Service Team
UBS Financial Services
Chicago, IL
03.2022 - Current
- Responsible for overseeing the customer due diligence and onboarding process to ensure that the bank adheres to relevant Know Your Customer (KYC) regulatory requirements
- Assist UBS in the fight against money laundering, fraud, corruption, and terrorist financing
- Maintain relationships with the branch network and Senior Management regarding KYC documentation, clarification of structures, and content of account requests
Workplace Planning Consultant
Fidelity Investments
Littleton, CO
05.2021 - 03.2022
- Engaged Fidelity 401k participants via inbound calls
- Provided investment guidance and excellent customer service
- Utilized problem solving and logical reasoning to assist clients
Agent Team Member
State Farm
Littleton, CO
05.2020 - 08.2020
- Provided support for active policyholders
- Responded promptly to customer service calls and inquiries from diverse groups of individuals
- Effectively managed multiple tasks that required problem-solving
Financial Representative
Northwestern Mutual
Fort Collins, CO
05.2019 - 08.2019
- Worked with customers to determine needs, and evaluate financial means
- Actively made outbound calls to promote products and services
- Managed own growing client base
Education
Bachelor of Science - Finance
Colorado State University
Fort Collins, COSkills
- Oral and Written Communications
- Information Verification
- Due Diligence
- Anti-Money Laundering
- Issue and Complaint Resolution
- Research Proficiency
Certification
- FINRA Series 7 and SIE License
- FINRA Series 66 License
- Life, Health, Property, and Casualty Insurance Licenses
Timeline
KYC Analyst, Specialized Service Team
UBS Financial Services
03.2022 - Current
Workplace Planning Consultant
Fidelity Investments
05.2021 - 03.2022
Agent Team Member
State Farm
05.2020 - 08.2020
Financial Representative
Northwestern Mutual
05.2019 - 08.2019
Bachelor of Science - Finance
Colorado State University