Audit Expert, IB Execution Services & Research

UBS; New York (NY); On-site; USD 120,000 - 160,000; Full time

Job summary

UBS is seeking an Audit Expert in New York to plan, execute and lead audits across high-volume trading businesses and related products. You will assess risk, develop audit issues and reports, and ensure adherence to internal standards while collaborating with cross-functional audit teams.

The role emphasizes understanding trading products, market risk, and regulatory frameworks, with a strong focus on stakeholder communication and process improvement.

Qualifications

• Bachelor or Master degree or equivalent focusing on finance, business administration or accounting/auditing.
• Ideally 4+ years of audit experience in a similar position focused on investment banking, trading platforms, execution services and research activities.
• Big 4 audit experience within the finance sector would be a plus.
• Strong understanding of trading products, market risk, and regulatory frameworks (e.g., SEC, FINRA, MiFID II).
• Strong analytical skills and quantitative approach to problem solving.
• Able 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.
• Ideally has familiarity with data analytics and AI tools and audit testing.

Responsibilities

• Plan, execute and lead audits, conduct issue assurance and risk assessment reviews, working effectively to provide the expected level of assurance.
• Highlight where controls are functioning well or where UBS needs to act to better manage current and emerging risks, and elevate significant concerns appropriately.
• Develop issues and audit reports according to internal standards that are fully supported by the work done.
• Meet internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required.
• Proactively collaborate with peers in and across audit teams.
• Build and maintain constructive relationships at all levels.

Skills

Audit experience

Regulatory understanding

Analytical thinking

Data analytics familiarity

Education

Bachelor or Master degree focusing on finance, business administration or accounting/auditing

Job description

Your role

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 Audit Expert to:

• plan, execute and lead audits, conduct issue assurance and risk assessment reviews, working effectively in order to provide the expected level of assurance
• 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
• where relevant, develop issues and audit reports according to our internal standards that are fully supported by the work done
• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required
• proactively and successfully collaborate with peers in and across audit teams
• build and maintain constructive relationships at all levels

Job Type

Full Time

Job Reference #

339461BR

City

New York

Your team

In our agile operating model, audit crews are aligned to business and functional areas, products and services. You’ll be working in the IB Execution Services and Research Audit team within the Investment Bank Audit Stream in New York, with the core responsibility to conduct and lead audit work covering high-volume trading businesses (including electronic & algorithmic trading) and products such as Equities, ETD and Foreign Exchange. In addition, the team is also responsible to (i) maintain relationships with IB management and control functions, (ii) continuously assess the risk profile of the relevant UBS IB businesses, and (iii) address inquiries from US regulators.

Your expertise

• bachelor or master degree or equivalent focusing on finance, business administration or accounting/ auditing
• ideally 4+ years of audit experience in a similar position focused on investment banking, trading platforms, execution services and research activities
• big 4 audit experience within the finance sector would be a plus
• strong understanding of trading products, market risk, and regulatory frameworks (e.g., SEC, FINRA, MiFID II)
• strong analytical skills and quantitative approach to problem solving
• able 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
• ideally has familiarity with data analytics and AI tools and audit testing

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

The indicative gross base salary range as a full-time equivalent role:

• United States - New York - New York min USD 120000 - max USD 160000 /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.

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.