Audit Expert IB Execution Services

UBS; Zürich; On-site; CHF 120,000 - 160,000; Full time

Job summary

UBS in Zürich seeks an Investment Banking Auditor to lead audits across Execution Services and Research, ensuring strong controls for global trading activities. You will interact with senior management, regulators and stakeholders, delivering high-quality audit work and insightful risk assessments.

The role requires a five-plus year finance auditing background, fluency in English, and a Master’s degree. The team operates in an agile model within a global bank, with opportunities for growth and

Qualifications

• Five or more years of experience in auditing within the finance sector.
• Ability to quickly understand complex investment banking processes and identify risks and inadequacies in processes.
• Ability to effectively communicate with senior stakeholders and regulators.
• Master’s degree or equivalent focusing on Banking, Finance, Business Administration or Auditing.
• Fluent in English; German is a plus but not required.

Responsibilities

• Plan, execute and lead audits, issue assurance and risk assessment and/or internal quality assurance reviews.
• Highlight where controls are functioning well or where UBS needs to act to better manage risks, and elevate significant concerns.
• Meet internal standards for the quality, execution and documentation of work with required coverage.
• Develop issues and audit reports according to internal standards with minimal reviewer feedback.
• Collaborate with peers in and across audit teams to maintain strong relationships with stakeholders.

Skills

Audit in finance

Stakeholder communication

Investment Banking products

Analytical skills

Regulatory awareness

Education

Master’s degree or equivalent in Banking, Finance, Business Administration or Auditing

Job description

City

Frankfurt am Main, Kraków, London, Wroclaw, Zürich

Job Type

Full Time, Part Time

Job Reference #

340110BR

Key Responsibilities

Are you a sharp evaluator of risk who enjoys investigating complex business processes and products? Do you want to play a key role in improving the effectiveness of business critical processes to help safeguard and strengthen UBS?

We’re looking for an Investment Banking Auditor to:

• plan, execute and lead audits, issue assurance and risk assessment and/or internal quality assurance reviews, working effectively in order to provide the expected level of assurance in line with the time/budget allocated


• highlight where controls are functioning well or where UBS needs to act to better manage current and emerging risks, and elevate any significant concerns appropriately


• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required


• where relevant, develop issues and audit reports according to our internal reporting and issue disposition standards that are fully supported by the work done and require minimal feedback from reviewers.


• successfully collaborate with peers in and across audit teams


• build and maintain constructive relationships with colleagues and relevant stakeholders at all levels including senior management

The team

In our agile operating model, audit crews are aligned to business and functional areas, products and services and consist of a number of autonomous pods. You’ll be working in the Investment Banking Audit team in Zürich focusing on auditing the Investment Bank’s Execution Services and Research activities. The team covers controls of high-volume trading businesses globally (including electronic & algorithmic trading) in products such as Equities, ETD, and Foreign Exchange. In addition to scheduled audits, the team is also responsible for (i) maintaining relationships with IB management and control functions, (ii) continuously assessing the risk profile of the Execution Services businesses, and (iii) addressing inquiries from regulators.

Your Skills And Experience

• five or more years of experience in a similar position focused on auditing within the finance sector


• able to quickly understand complex investment banking processes and challenge the status quo, identifying risks and inadequacies in processes


• ability to effectively communicate with senior stakeholders and regulators


• familiarity with Investment Banking products and processes


• strong analytical skills and quantitative approach to problem solving


• willingness to keep up with industry, regulatory developments, and learn new concepts and methods


• master’s degree or equivalent focusing on Banking, Finance, Business Administration or Auditing


• fluent in English, German is a plus but not required

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.

Join us

At UBS, we know that it's 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.

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.