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?
We're looking for an Audit Expert to:
• plan, execute and lead audits, conduct issue assurance and risk assessment reviews, working effectively in order 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 escalate any significant concerns appropriately
• where relevant, develop issues and audit reports according to our internal standards that are fully supported by the work done
• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required
• proactively and successfully collaborate with peers in and across audit teams
• build and maintain constructive relationships at all levels
Your team
In our agile operating model, audit crews are aligned to business and functional areas, products and services. You'll be working in the IB Execution Services and Research Audit team within the Investment Bank Audit Stream in New York, with the core responsibility to conduct and lead audit work covering high-volume trading businesses (including electronic & algorithmic trading) and products such as Equities, ETD and Foreign Exchange. In addition, the team is also responsible to (i) maintain relationships with IB management and control functions, (ii) continuously assess the risk profile of the relevant UBS IB businesses, and (iii) address inquiries from US regulators.
Your expertise
• 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
*LI-UBS
*UBS-MOGUL
Salary information
The indicative gross base salary range as a full-time equivalent role:
• United States - New York - New York min USD 120000 - max USD 160000 /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.
