$80K — $100K *
You key deliverables as part of the team are:
• 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 & training plan
• closure or escalation of audit actions
• performs the responsible auditor (RA) role
• contributes to the MRA and Anticipatory Auditing process
• hold challenge meetings with defined business management and subject matter experts
• leverages GIA audit process to demonstrate entrepreneurial leadership and clear focus on risk
• while maintaining independence, leverages audit results with the activities of other control functions within UBS
• actively challenges GIA standards / products and participates in finding solutions
You will be working in Group Internal Audit (GIA) Team in New York/New Jersey. 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 Group Functions (GF) functions globally. We are independent in our work and report directly to the Chairman of the Board and the Audit Committee.
We are a talent powerhouse that attracts and develops the best people by driving career growth in and outside the department. Our team, Americas Financial Crime Audit team, as an integral part of the Global Financial Crime Audit team, is mainly responsible for auditing AML, sanctions and other financial crime areas within the firm. The Audit Expert is responsible for performing all aspects of audit work, including risk assessment, planning execution, reporting and follow-up procedures. In your role, you will be covering the audits of both 1st and 2nd line of defense control functions in the Americas.
• a four year bachelor's degree or the international equivalent
• ACAMS qualification
• ideally (6 – 12 years) audit, compliance or internal risk management experience within the financial industry. This experience could have been gained at a consulting firm, regulator, or in an Internal Audit function
• detailed understanding of financial crime related risks including anti-money laundering, know-your-customer, sanctions and/or anti-bribery and corruption, including but not limited to client due diligence, alert handling, transaction monitoring, OFAC sanctions, risk assessment, etc
• strong analytical skills and quantitative approach to problem solving
• you are able to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures.
• willingness to keep up with industry, regulatory developments and learn new concepts and methods,
• ability to effectively communicate with senior stakeholders
• risk focused, and capable of using data analytics to gain insights into business and compliance processes.
Valid through: 3/18/2021