UBS · 3 days ago
Audit Expert
Connecticut, United States
Full-time
Hybrid
Senior Level
$164K/yr - $211K/yr
5+ years expUBS is a leading global wealth manager and universal bank headquartered in Zurich, Switzerland. They are seeking an Audit Expert to conduct reviews and audits, analyze risks, and provide innovative solutions while collaborating with audit teams and senior management.
Asset ManagementBankingFinancial ServicesWealth Management
Responsibilities
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
Analyze and assess risks and barriers to delivery assumed by both the business and support functions
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
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
Holds 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
Qualification
Required
a university degree - preferred
ACAMS (or equivalent AML qualification) – preferred
ideally 5+ years within internal audit, compliance or internal risk management areas within the financial services industry. This experience could have been gained at a consulting firm, regulator, or in an Internal Audit function
a detailed understanding of financial crime related risks including Anti-Money Laundering, Know Your Customer, Sanctions and/or Anti-Bribery & Corruption
experienced in performing audits of financial crime risk
reliable when working independently, with sound judgment to determine when to escalate issues
risk focused and capable of using data analytics to gain insights into transactions and clients
team player willing to travel to other UBS locations for Audit assignments
willing to discover all aspects of the bank, with the ambition to advance your career in an international environment
Company
UBS
UBS is a financial services firm engaged in wealth management, investment banking, asset management, and retail banking.
10001+ employees
H1B Sponsorship
UBS has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (8)
2024 (7)
2023 (3)
2022 (6)
2021 (5)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
$12.57B2025-11-03Post Ipo Debt· $3.25B
2025-09-09Post Ipo Debt· $1.17B
2024-09-06Post Ipo Debt· $1.5B
Leadership Team
Sergio P. Ermotti
Group Chief Executive Officer
James Walker
Head CTO for Core Technology & Platforms
Recent News
bloomberglaw.com
2026-01-22
2026-01-22
Company data provided by crunchbase