Audit Expert, Compliance and Investigations

UBS Group AG; Wrocław; On-site; PLN 250,000 - 450,000; Full time

Job summary

UBS Group AG is seeking an intellectually curious auditor to join the Global Compliance, Operational Risk Control audit team within Group Internal Audit. The role focuses on risk assessing and auditing second line processes and the control environment related to compliance and non-financial risk topics.

The team operates with independence, reporting to the Audit Committee, and emphasizes collaboration, career growth, and use of AI to enhance the audit process.

Qualifications

• 10+ years in internal audit, compliance or internal risk management in financial services.
• Strong analytical skills with ability to identify key risks across processes.
• Solid experience in internal controls, risk management or audit for compliance, regulatory, financial crime and operational risks.
• Ability to understand complex processes and challenge status quo to identify risks.
• Willingness to keep up with industry and regulatory developments.
• Strong communication and stakeholder networking across levels.

Responsibilities

• Plan and execute audits, provide assurance and risk assessment within defined time/budget.
• Meet internal standards for quality, execution, and documentation of work.
• Challenge risk management and controls with experience and perspective.
• Develop audit issues/reports aligned with internal standards and ensure review efficiency.
• Build and maintain relationships with colleagues and stakeholders at all levels, including senior management.
• Explore and drive the use of AI across the audit cycle, where relevant.

Skills

Internal audit/compliance experience

Analytical skills

Internal controls & risk management

Process understanding & challenge-quo

Regulatory knowledge

Communication & networking

Job description

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?

At UBS, we have re-imagined the way we work, the way we connect with each other – our colleagues, clients and partners – and the way we deliver value. Being agile will make us more responsive, more adaptable, and ultimately more innovative.

We are looking for an intellectually curious auditor, preferably with prior knowledge and experience in compliance (non-financial crime). We’re looking for someone who can:

• support the planning and execution of audits, issue assurance and risk assessment and/or internal quality assurance, working effectively in order to provide the expected level of assurance and to meet the time/budget allocated for the task
• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required
• effectively challenge risk management and controls within the firm, leveraging experience and perspectives
• 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.
• build and maintain constructive relationships with colleagues and relevant stakeholders at all levels including senior management
• use, develop and drive the use of AI across all elements of the audit cycle

Job Type

Full Time

Job Reference #

340375BR

City

Kraków, Wroclaw

The team

You will be working in the Global Compliance, Operational Risk Control (GCO&RC) audit team within Group Internal Audit (GIA). 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 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 Skills And Experience

• ideally 10+ 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.
• 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

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.

Report misconduct: If you are made aware of any of our employees or individuals acting on behalf of UBS engaging in acts of misconduct under the Poland Whistleblowing Act, you may report your concerns through [e-mail]