Senior Auditor – Compliance
Job Reference #
Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? We’re looking for someone like that who can:
• plan, manage and execute global and cross-divisional audits of Compliance and Operational Risk Control (C&ORC) functions, including but not limited to Monitoring & Surveillance
• conduct comprehensive ongoing and forward-looking assessments of the firm's compliance and operational risks
• identify and evaluate the effectiveness of controls designed to address those risks, and provide practical, innovative, and value-added solutions to any issues identified
• use data analytics to better assess inherent risks and challenge risk assessments and adequacy of control environment during audit executions
• communicate audit findings, verbally and through high quality written reports, for UBS senior management at local, global, functional and Group levels
• develop and maintain relationships with senior management in C&ORC
• engage with internal and external stakeholders for monitoring, issues or remediation themes identified.
You will be working in the Group Compliance, Regulatory & Governance (GCRG) audit function within Group Internal Audit (GIA) in Krakow, Poland.
With over 400 auditors across 21 offices in 15 countries, GIA's role, as an independent function, is to support 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 develops the best people, driving career growth in- and outside the department.
• strong experience in audit or internal control function areas within the financial services industry
• experience of second line of defense controls over compliance and operational risks, including market conduct risks (manipulation, insider dealing etc.) and monitoring & surveillance controls
• good knowledge of investment bank products and risks
• strong communication and networking skills to perform ongoing risk assessments with management and convey audit findings
• strong analytical skills and are able to identify key risks within a variety of transaction processes and critically challenge information
• data analytics experience, including tools such as Alteryx
• experienced in building relationships with senior management
• flexible and committed team player, experienced in executing global audits.
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
UBS Recruiting Poland
Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.