Americas Compliance Audit Manager
About the role
Lead or 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 analysis and assessment of risks and barriers to delivery, 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. Builds-up and continuously maintains 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.
Responsibilities
- Lead or 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 analysis and assessment of risks and barriers to delivery
- 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
Requirements
- 5+ years within internal audit, compliance or internal risk management areas within the financial services industry
- 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
- Strong communication and networking skills to work collaboratively with stakeholders at all levels
Qualifications
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.
Strong communication and networking skills to work collaboratively with stakeholders at all levels.
Skills
Knowledge of organizational and governance structure, of products and processes, of legal and regulatory requirements.
Professional skills and experience to allow for an effective and professional mandate execution.
Benefits
Indicative gross base salary range as a full-time equivalent role: United States - New Jersey - Weehawken min USD 100000 - max USD 140000 United States - New York - New York min USD 100000 - max USD 140000 /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.
Pay
Indicative gross base salary range as a full-time equivalent role: United States - New Jersey - Weehawken min USD 100000 - max USD 140000 United States - New York - New York min USD 100000 - max USD 140000 /annum
Schedule
Full Time