Audit Expert

Your role

Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? Were looking for someone like that who can:

• conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to issues identified
• drive or work as a team member on reviews and audits, including thematic and front-to-back
• analyze and assess risks and barriers to delivery assumed by both the business and support functions
• identify and evaluate the effectiveness of controls designed to address those risks
• prepare reports of audit findings for UBS senior management, monitor the results, risk profile and developments across Financial Crime Prevention and provide input for planning sessions
• successfully collaborate with peers in and across audit teams
• builds-up and continuously maintains sufficient knowledge of organizational and governance structure, of products and processes, of legal and regulatory requirements, as well as developing professional skills and experience, to allow for an effective and professional mandate execution
  
  

Key Deliverables

• audits, performed efficiently, with a sense of urgency and in accordance with best practice
• assessments and reviews on whether risks are effectively controlled and, when this is not achieved, definition of the root cause for the issues
• pragmatic action plans to be agreed with management; these address the issue in a sustainable way and remedy the weakness promptly
• self-development & training plan
• closure or escalation of audit actions
• performs the Responsible Auditor (RA) role
• holds challenge meetings with defined business management and subject matter experts
• leverages GIA audit process to demonstrate entrepreneurial leadership and clear focus on risk
• while maintaining independence, leverages audit results with the activities of other control functions within UBS
• actively challenges GIA standards / products and participates in finding solutions
  
  

Detailed salary information:

• Stamford, New York: the salary range for this role is $164000 to $211000
  
  

The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Job Type

Full Time

Job Reference #

329976BR

City

New York, Stamford

Your team

You will be working in the Global Financial Crime Prevention audit team in Group Internal Audit.

GIA is an independent function that supports UBS in achieving its strategic, operational, financial and compliance objectives. We do this by assessing key processes as well as governance, risk management and the control environment within all business divisions and Corporate Center functions globally. We are independent in our work and report directly to the Chairman of the Board of Directors and the Audit Committee.

We are a talent powerhouse that attracts and develop the best people by driving career growth in and outside the department. Our team is responsible for auditing the Global Financial Crime Prevention team, assessing the risks and controls to prevent and detect financial crime across the firm.

Your expertise

• a university degree - preferred
• ACAMS (or equivalent AML qualification) – preferred
• ideally 5+ years within internal audit, compliance or internal risk management areas within the financial services industry. This experience could have been gained at a consulting firm, regulator, or in an Internal Audit function
• a detailed understanding of financial crime related risks including Anti-Money Laundering, Know Your Customer, Sanctions and/or Anti-Bribery & Corruption
• experienced in performing audits of financial crime risk
• reliable when working independently, with sound judgment to determine when to escalate issues
• risk focused and capable of using data analytics to gain insights into transactions and clients
• team player willing to travel to other UBS locations for Audit assignments
• willing to discover all aspects of the bank, with the ambition to advance your career in an international environment
  
  

About Us
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.

We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Salary information

US Only: The expected salary range for this role is $164000 to $211000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

Join us

At UBS, we know that its our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Disclaimer / Policy statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

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