External Staff Vetting Frequently Asked Question

a. Who is the UBS Business Contact?

This is the person who will submit the request for your staff member on our HR ticketing system. Typically this is the hiring manager, but it could be delegated internally to recruitment, a team assistant or a project office. If in doubt, speak to the hiring manager.

b. Who is the Supplier Representative?

The supplier delegates someone to complete the vetting declaration form. Typically, this is the supplier's HR or vetting team.

c. What checks are required for my candidate?

You should first check the "staff category" of your candidate and the vetting checks section of this site. This will tell you the list of checks that are required. You should then check the country specification for the country in which your candidate will undertake their assignment with UBS. This lists the checks that are specific to that country.

d. My company has exceptions, where are they listed?

Exceptions that have been agreed by the Global Vetting Decision Authority are stored internally at UBS and will not be published on this site.

e. There is a finding in a vetting check, what action is required?

There are two types of finding and the action is different:

1. Declaration by supplier staff of relatives and relationships or an external directorship:
   Action for supplier is to report the information to the relevant Regional Staff Vetting Operations Team by sending an email and attaching a copy of the staff vetting declaration form (see "Contact" for email addresses).
2. A finding in a check e.g unsatisfactory vetting results credit report, failure to have a valid ID document:
   Action for supplier: Perform an Individualized assessment in accordance with applicable law. The supplier should refer to the 'Vetting Finding Guidelines’ (available in the “Document Library” tab of this webpage) which outlines the thresholds for each finding and in accordance with the applicable law determine if the finding constitutes a vetting fail. If the outcome is that there is a vetting fail, the employee needs to be withdrawn from providing services to UBS, please inform the relevant Regional Staff Vetting Operations Team (see "Contact" for email addresses) and your business contact.
   

f. My candidate has never lived in the country he's being sent to for his assignment with UBS. Does he need to have credit and criminal checks for that country?

No, a criminal or credit check is only required if the individual has lived in a country for 6 months or more. However, the additional documentation will be required in case of audit, to prove the staff address history. E.g. if the candidate only moved to a new country, the document confirming the date of the registration with the local authorities will be requested by the auditors.

g. I've previously vetted my candidate for UBS Can the checks be reused?

Rehire vetting can only be applied if the candidate is re-engagged within 6 months (Americas: 3 months) and the vetting evidence is available and not older than 12 months.

h. My company does not agree to a check in the country specification, or my vetting vendor does not offer the check. What should we do?

If you believe that a check is not possible, send an email to the Supplier Vetting Advisory Team with details of the check and an explanation why it cannot be conducted. This will be reviewed by UBS and you will be informed if it is ok not to do the check.

i. What is the minimum on boarding time for a staff member to start at UBS?

The start date should be at least 10 business days (or three business days if IT access is not needed) after the submission of the request. For external staff located in the US, the start date should be at least 12 days (or six business days if IT access is not needed). This date could be delayed if there is a finding the vetting checks that requires escalation.

j. If a criminal or credit check is not legal or not allowed for employment purposes in the country that my candidate will be in while on assignment at UBS, will international criminal and credit checks be undertaken?

No international criminal or credit checks will take place under these circumstances.

k. What is the global background check?

This is a UBS database containing proprietary data, e.g. names linked to financial or governmental sanctions and politically exposed persons (PEP).

l. What is 'registered status'?

Candidates who undertake certain functions or activities in their role are required to be registered with a financial regulator/regulating body. As this is based on function rather than job title, it is not possible to provide a list of roles or job titles. The table below provides is a non-exhaustive list of financial regulators/regulating bodies.