Yesica Garcia

I am currently working as a remote worker for the Home Office/Middle Office team in New York that provides support to UBS International with the periodical know your customer reviews (PKR). Day to day tasks include the following:

· Conduct PKRs and account reviews for domestic and international clients with high/higher risk ratings clients and complex structures.

· Conduct thorough reviews for high/higher risk clients based on stratified risk level guidelines.

· Review corporate documentation to determine business and ownership structure is in compliance with internal guidelines and policies.

· Perform reports and remediation.

· Conduct KYC formality reports on questionable accounts and transactions.

· Analyze and investigate the client's profile in order to conduct detailed customer due diligence (CDD)and enhanced due diligence (EDD) review.

· Support KYC processes for existing clients (high/higher risk clients).

· Provide guidance on KYC compliance requirements.

· Ensure that client vetting data and document processing complies with regulations, guidelines, standards, and UBS policies for all accounts.

· Completion of the final Due Diligence for cases in the Enterprise Case Manager (ECM tool/PKR tool).

· Conduct negative news searches using different types of search engines (Cosima, Lexis Diligence report, OFAC Sanction list search, Google).

. Complete of Final Due Diligence check list and negative news searches.

I supported financial advisers with the new account opening process for new and existing clients on the brokerage platform. Day to day tasks included the following:

· New Account opening for domestic and international clients, including complex structures.

· Account opening of subsequent/mirrors accounts for domestic and international clients.

· Completion of pre-filled forms for new accounts and account updates for Individual, JTWROS, LLC, PHC, PIC, LP, LLP, GP, and Trust.

· Performed account updates.

· Documentation review for low, medium, and high/higher-risk relationships. Type of relationships; Individual, JTWROS, LLC, PHC, PIC, LP, LLP, GP and Trust.

· Completion of EDD Forms, and reviews.

· Performed SOW Corroboration.

· Verification of client data and source of wealth information were current and accurate.

· Assisted Financial Advisers (FAs) in service works cases, account remediation and EDD forms remediation.

· Assessed the relationships on case-by-case basis in order to identify and corroborate the accurate ownership of each relationships.

· Performed background checks using different search engines (COSIMA, OFAC sanctions list).

· Performed client due diligence (CDD) and enhanced due diligence (EDD).

· Assisted with PKRs review (periodicals know your customer review) and addressing the findings.

· Assisted /supported Management with new tasks/projects.

My primary day-to-day responsibilities included the following:

• Sending written communications to client advisors regarding various remediation projects [regarding Periodical Know Your Client review/remediation (PKYC review/remediation)].
• Analyze account documentation accuracy.
• Review/input client data into the Private Bank client management system.
• Perform customer due diligence, EDD, KYC reviews and source of wealth corroboration.
• Review/ input client data report (Cosima, Fativa, and LexisNexis).