Brian Michalowski Email & Phone Number

Jersey City

Facilitated the onboarding of new institutional client accounts by working closely with clients to collect documentation and disseminate it to internal teams for review.• Acted as subject-matter expert on a wide range of client issues and internal processes as they relate to the client onboarding processes.• Collaborated with fellow team members to provide exceptional service for existing and prospective clients including serving as a point of escalation for Onboarding issues.• Determined documentation required to configure a new trading account including account agreement, regulatory submissions, and know your client information specific to both the client type and financial product traded.• Participated in projects to enhance the client experience, streamline operations, automate processes and decrease errors.• Reduced risks and issues by running client reports and responding to client requests in a timely manner.• Actively managed client expectations as related to the client onboarding processes with a proactive and client-focused approach to issue resolution.• Vetted private and public information for an initial financial crime risk assessment and determined any additional KYC requirements needed from a client.• Performed sanction and negative media screenings of companies and individuals prior to approving for account opening.• Completed KYC reviews by coordinating with internal sales, compliance and operations teams to collect all additional information not originally provided.

Stamford, Ct

Reviewed historic KYC information of existing investment banking clients and refreshed it to adhere with the bank’s current policy by coordinating with clients and sales. • Led a team of five analysts who applied UBS’s AML (Anti-Money Laundering Policy) to collect information for sanction and known financial crimes screening.• Escalated risks or red flags from high risk jurisdictions, Politically Exposed Persons, or negative media to compliance department for further review.• Reviewed and approved summarized client files for completion and policy adherence, thus closing out their KYC review cycle.• Trained, coached and mentored new analysts on Anti-Money Laundering Policy, corporate management and ownership structures, and systems for information sourcing.• Significantly contributed to the design process and control points for handing part of a review to an offshore team while maintaining premier customer service.• Improved accuracy in the review process by recognizing common mistakes and creating training material on how to correctly comply with firm AML Policy.