Carlos Vera
About Carlos Vera
Carlos Vera is a Business Risk Specialist with extensive experience in compliance and risk analysis, currently working at UBS since 2020. He previously held positions at MARSH USA, where he focused on due diligence and compliance from 2008 to 2015.
Current Role at UBS
Carlos Vera serves as a Business Risk Specialist at UBS, a position he has held since 2020. In this role, he conducts thorough investigations into transactional activities, focusing on compliance with regulations set forth by the Office of Foreign Assets Control (OFAC). His responsibilities include reviewing cases involving Politically Exposed Persons (PEP) and identifying negative news hits. Vera ensures that all account packages meet the necessary compliance standards, contributing to the overall risk management framework of the organization.
Previous Experience at MARSH USA
Carlos Vera worked at MARSH USA from 2008 to 2015, where he held two positions. Initially, he served as a Consultant for four years, during which he focused on risk assessment and compliance. He then advanced to the role of Assistant Vice President, working for three years in Princeton, New Jersey. In both positions, Vera was responsible for evaluating the completeness and accuracy of files related to high-risk individuals and entities, ensuring adherence to compliance protocols.
Expertise in Compliance and Risk Management
Vera specializes in compliance with Anti-Money Laundering (AML) regulations. His work involves conducting initial analyses of Enhanced Due Diligence (EDD) account packages to ensure they comply with established standards. He escalates unusual activities and conducts reviews of KYC documentation to clarify client account purposes and transaction volumes. His expertise extends to evaluating risks associated with sanctions and negative news, which are critical for maintaining compliance in financial transactions.
Educational Background
The educational background of Carlos Vera is not specified in the provided information. However, his roles in compliance and risk management suggest a strong foundation in relevant fields, likely supported by formal education and professional training in finance, law, or a related discipline.