Senior Audit Expert: Trading & Risk Assurance

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

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.