MAA Career Resource Center

Auditor - WM Advisory Products and Operations

Stamford, Connecticut, United States (on-site)
2 days ago


Your role

Do you have proven experience in delivering value-add solutions to complex risk situations? Do you keep up with industry, regulatory and audit methodology developments?

We're looking for someone like that who can:

• conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to issues identified
• understand, analyze and evaluate the US Advisory and Operations businesses and support structure, strategy and governance and applicable laws, rules and regulations
• identify and evaluate the effectiveness of controls designed to address those risks
• conduct comprehensive annual risk assessments of our business activities, and continuous risk assessments for evolving risk profile
• deliver audit results, conclusions and key recommendations to arrive at practical, sustainable and value-add solutions
• collaborate with peers within and across audit teams
• engage with internal and external businesses for monitoring, issues or remediation themes identified

Your team

You'll be working in Group Internal Audit (GIA) in Weehawken, New Jersey. We are 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 globally. We are independent in our work and report directly to the Chairman of the Board of Directors and the Audit Committee. You will play a key role in delivering on our promise to avoid our stakeholders being surprised by an unexpected loss or damage.

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.Your expertise

• bachelor or master degree or equivalent
• ideally 3-5 years+ in audit, compliance or internal risk management areas within the financial industry. This experience could have been gained at a consulting firm or in an internal audit function
• familiar with the wealth management business area
• possess combined risk and analytic skills, which you apply to problem solving
• a detailed understanding of investment advisory, products, operations and associated regulations as well a quantitative approach to problem solving
• maintain up-to-date industry knowledge of relevant regulations, concepts and methods
• effective communicator with all levels, strong verbal and in writing skills
• reliable when working independently, with sound judgment for when to escalate issues
• risk focused, and capable of using data analytics to gain insights into transactions, clients, and investment products
• willing to travel to other UBS locations for audit assignments
• curious and willing to discover all aspects of the bank, with the ambition to advance your career in an international environment

*UBS-ALPFAAbout us

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?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.

Job Information

  • Job ID: 66911928
  • Workplace Type: On-Site
  • Location:
    Stamford, Connecticut, United States
  • Company Name For Job: UBS
  • Position Title: Auditor - WM Advisory Products and Operations
  • Area of Interest: Other Profession
  • Job Type: Full-Time
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