Audit Expert-Americas Compliance

UBS; Weehawken (NJ); On-site; USD 100,000 - 140,000; Full time

Job summary

UBS Americas Compliance, Operational Risk Control audit team in Group Internal Audit seeks a qualified auditor to assess risks and controls across the firm. You will lead reviews, analyze complex processes, and craft actionable solutions while collaborating with cross-functional teams.

The role requires 5+ years in internal audit or compliance testing within financial services, strong analytical and communication skills, and the ability to navigate regulatory changes.

Qualifications

• 5+ years within internal audit or compliance testing in financial services.
• Strong analytical skills to identify key risks in transactions.
• Solid experience in internal controls, risk or audit in financial services.
• Ability to understand complex processes and challenge status quo.
• Willingness to keep up with industry and regulatory developments.
• Strong communication and networking to work with stakeholders.

Responsibilities

• Lead or conduct reviews and audits of specific business areas with practical solutions.
• Drive or contribute to reviews and audits, including front-to-back approaches.
• Analyze and assess risks and barriers to delivery by business and support functions.
• Identify and evaluate effectiveness of controls addressing those risks.
• Prepare audit reports for UBS senior management and monitor risk developments.
• Collaborate with peers across audit teams; maintain domain knowledge.

Skills

Internal audits

Regulatory compliance

Risk assessment

Controls testing

Analytical skills

Regulatory developments

Job description

Key Responsibilities

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

• 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.

Job Type

Full Time

Job Reference #

335608BR

City

New York, Weehawken

Key Responsibilities

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

• 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.

The 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 within internal audit, or 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

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

• United States - New Jersey - Weehawken min USD 100000 - max USD 140000
• United States - New York - New York min USD 100000 - max USD 140000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.

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.