Audit Expert, Compliance and Investigations

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?

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:

• lead 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

• line mange a team in international locations

• build and maintain senior stakeholder relationships

• 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

Your 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 expertise :

• 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, 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 senior stakeholders

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