Audit Expert

Your 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
• 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
• build and continuously maintain sufficient knowledge of organizational and governance structure, products and processes, legal and regulatory requirements, as well as developing professional skills and experience, to allow for an effective and professional mandate execution
• audits performed efficiently, with a sense of urgency and in accordance with best practice
• assessments and reviews on whether risks are effectively controlled and, when this is not achieved, definition of the root cause for the issues
• pragmatic action plans to be agreed with management; these address the issue in a sustainable way and remedy the weakness promptly
• self-development and training plan
• closure or escalation of audit actions
• perform the Responsible Auditor (RA) role
• hold challenge meetings with defined business management and subject matter experts
• leverage GIA audit process to demonstrate entrepreneurial leadership and clear focus on risk
• while maintaining independence, leverage audit results with the activities of other control functions within UBS
• actively challenge GIA standards/products and participate in finding solutions

• audits performed efficiently, with a sense of urgency and in accordance with best practice
• assessments and reviews on whether risks are effectively controlled and, when this is not achieved, definition of the root cause for the issues
• pragmatic action plans to be agreed with management; these address the issue in a sustainable way and remedy the weakness promptly
• self-development and training plan
• closure or escalation of audit actions
• perform the Responsible Auditor (RA) role
• hold challenge meetings with defined business management and subject matter experts
• leverage GIA audit process to demonstrate entrepreneurial leadership and clear focus on risk
• while maintaining independence, leverage audit results with the activities of other control functions within UBSactively challenge GIA standards/products and participate in finding solutions

• a university degree – preferred
• ACAMS (or equivalent AML qualification) – preferred
• ideally 5+ 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
• a detailed understanding of financial crime related risks including Anti-Money Laundering, Know Your Customer, Sanctions and/or Anti-Bribery & Corruption
• experienced in performing audits of financial crime risk
• reliable when working independently, with sound judgment to determine when to elevate issues
• risk focused and capable of using data analytics to gain insights into transactions and clients
• team player willing to travel to other UBS locations for Audit assignments
• willing to discover all aspects of the bank, with the ambition to advance your career in an international environment

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?…