Paola K.
About Paola K.
Paola K. serves as the Director and Business AML/KYC Risk Oversight Manager at UBS, where she has worked since 2019. With extensive experience in AML/KYC compliance across various financial institutions, she has a proven track record of improving processes and compliance measures.
Current Role at UBS
Paola K. currently serves as the Director - Business AML/KYC Risk Oversight Manager at UBS, a position she has held since 2019. In this role, she oversees risk management related to Anti-Money Laundering (AML) and Know Your Customer (KYC) processes. Her responsibilities include ensuring compliance with regulatory requirements and implementing strategies to mitigate risks associated with client onboarding and transaction monitoring.
Previous Experience at RBS
Paola K. worked at RBS in various capacities from 2007 to 2013. She initially served as an AML/BSA Compliance Officer for three years in Stamford, CT. Subsequently, she was promoted to Vice President/Manager of AML/KYC Onboarding Facilitations and Client Maintenance, where she continued for another three years. During her tenure, she developed a client onboarding tool that improved the account opening process time by 65%.
Experience at Société Générale
From 2014 to 2017, Paola K. was employed at Société Générale as Vice President/Manager of Regional Client Services, focusing on KYC, onboarding, tax validation, e-business, and new accounts. She led the creation of a tax form validation team, which significantly increased IRS regulation compliance by approximately 90%. This role involved managing client services and ensuring adherence to compliance standards.
Educational Background
Paola K. holds a Bachelor of Business Administration (BBA) from Berkeley College. She furthered her education by obtaining a Master of Science (MS) in Internet Business Systems from Mercy University. Her academic background provides a solid foundation for her roles in compliance and risk management within the financial sector.
Contributions to UBS
During her time at UBS, Paola K. has implemented several initiatives to enhance operational efficiency. She designed dashboards that improved tracking and communication of projects, increasing transparency by about 60%. Additionally, she implemented a team revitalization strategy that reduced employee turnover by approximately 45%, demonstrating her commitment to fostering a productive work environment.