Senior Audit Manager – Compliance & ORC Audit

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • UBS
  • 18 Aug 18 2018-08-18

Senior Audit Manager – Compliance & ORC Audit

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:

•act as a compliance expert within the C&ORC Audit team, especially in relation to client related business conduct and market conduct
•develop a forward-looking view of governance, compliance and operational risks across the firm and provide high quality input into the annual planning and continuous risk assessment processes
•identify and evaluate the effectiveness of controls designed to address those risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of audit findings for UBS senior management at local, global, functional and Group levels
•drive the audit coverage for the aforementioned areas. In related audits your role will be either: Responsible Auditor, team member or subject matter expert, depending on the audit. You will also have the opportunity to work on audits across the broader Risk & HR Audit team, such as Legal, HR, and Credit or Market risk
•develop and maintain relationships with senior management in C&ORC

Your team
You will be working in the Group Internal Audit team in New York. Our 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 develop the best people by driving career growth in and outside the department

Your experience and skills
You have:
–strong experience in audit or internal control function areas within the financial industry
–in-depth experience (10+ years) of compliance, conduct, and operational risks
–in-depth knowledge of the global regulatory environment, especially in relation to market conduct, fraud prevention, and client related business conduct
–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

You are:
–experienced in building relationships with senior management.
–flexible and committed team player, experienced in executing global audits, and willing to travel to other UBS locations for audit assignments when necessary


What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Take the next step
Fitting in at UBS means being passionate and motivated about what you do. If you like collaborating, are used to challenging others and being challenged in return, then you have the right attitude to thrive in our environment. Want to become part of our team? Apply now.

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