Associate Director, Audit Expert - IB Derivatives and Solutions

UBS; Nashville (TN); Hybrid; USD 80,000 - 130,000; Full time

Job summary

An established industry player is on the lookout for an Associate Director, Audit Expert to join their Group Internal Audit team. This pivotal role involves planning and executing investment bank audits, ensuring compliance with quality standards, and developing strong relationships with auditees and senior management. The ideal candidate will have extensive experience in capital markets and investment banking audits, coupled with a keen ability to assess risks and controls. This position offers the flexibility of remote work, making it an excellent opportunity for professionals seeking to make a significant impact in a dynamic environment.

Qualifications

• 5+ years of experience in investment banking audits and risk assessment.
• Bachelor's degree in Accounting, Finance, or related field.

Responsibilities

• Plan and execute investment bank audits and risk assessments.
• Communicate audit issues and risks to stakeholders and senior management.

Skills

Audit Planning

Risk Assessment

Report Writing

Stakeholder Communication

Regulatory Compliance

Education

Bachelor's in Accounting

Bachelor's in Finance

Job description

Associate Director, Audit Expert - IB Derivatives and Solutions

UBS is seeking an Associate Director, Audit Expert - IB Derivatives and Solutions in Nashville, TN, within the Group Internal Audit team.

Responsibilities include:

1. Planning, executing, and managing investment bank audits, including ESE relevant audits, assurance, risk assessment, and internal quality assurance.
2. Performing continuous risk assessments, monitoring adherence to the audit cycle, and participating in relevant committees and forums.
3. Ensuring compliance with GIA standards for quality, documentation, and legal entity coverage.
4. Writing supported audit reports, communicating issues and risks effectively to stakeholders and senior management.
5. Reviewing remediation activities to ensure risks and root causes are addressed sustainably.
6. Developing relationships with auditees and senior management, assisting in regulatory exam preparations.
7. Ability to work remotely.

Qualifications:

1. Bachelor's degree or foreign equivalent in Accounting, Finance, or related field, plus 5 years of relevant experience.
2. Experience in capital markets, investment banking audits, audit planning, risk and control identification, testing, documentation, and report writing.
3. Skills in identifying issues, developing recommendations, and assessing risks and controls.

Qualified applicants should apply via email, referencing 001613. No calls please. UBS is an equal opportunity employer committed to diversity and inclusion.