Compliance Auditor

About the Role

Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? We're looking for someone like that who can conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to issues identified. You will work as a team member on reviews and audits, including thematic and front-to-back. You will analyze and assess risks and barriers to delivery assumed by both the business and support functions. You will identify and evaluate the effectiveness of controls designed to address those risks. You will support reporting of audit findings for UBS senior management, monitor the results, risk profile and developments across Compliance programs and topics (e.g. compliance testing and monitoring, employee and market conduct, suitability and conflicts, etc.) and provide input for planning sessions. You will successfully collaborate with peers in and across audit teams. You will build-up and continuously maintain 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.

Your Team

You will be working in the Americas Compliance, Operational Risk Control (CORC) 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 Group Compliance and Operational Risk Control (GCORC) in Americas working with our global GCORC Audit Stream teams, assessing the risks and controls to prevent and detect compliance and operational risks across the firm.

Your Expertise

• Ideally 2+ 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, 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.

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.

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.

Key skills/competency

• Risk assessment
• Auditing
• Internal controls
• Compliance
• Financial services
• Operational risk
• Regulatory requirements
• Analytical skills
• Problem-solving
• Team collaboration