Audit Expert-Americas Compliance

Job Reference #335608

BRCityNew York, Weehawken Job Type Full Time Key responsibilities

Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions?

UBS is looking for an Internal Auditor to:
• lead or 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.

Your Career Comeback We are open to applications from career returners. Find out more about our program on  team

You will be working in the Americas Compliance, Operational Risk Control (CORC) audit team in Group Internal Audit. The team is focused on risk assessing and auditing second line of defense processes and the control environment related to compliance and non-financial risk topics.

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 Group 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 skills and experience
• ideally 5+ years experience as an internal auditor with experience in compliance testing areas within the financial services industry. This experience could have been gained at a consulting firm, regulator, or in an Internal Audit function.
• strong analytical skills and ability to identify key risks within a variety of transaction processes and critically challenge information
• solid experience in an internal controls, business risk or audit function within the financial services industry covering compliance, regulatory, financial crime, conduct and operational risks
• ability to quickly understand complex processes and challenge the status quo, identifying risks and inadequacies in processes
• willingness to keep up with industry, regulatory developments and learn new concepts and methods
• strong communication and networking skills to work collaboratively with stakeholders at all levels
• you’re curious to explore how AI can improve how we build, deliver, and optimize workflows, you do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

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.

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