- investigate cases assigned to the group, including whistleblowing cases - matters involve potential violations of law or policy by employees
- conduct research, review and analyze data, gather background facts, discuss policies/issues with Subject Matter Experts, interview witnesses and subjects, and create reports
- prepare investigation and whistleblowing closing reports, synthesizing the investigation findings
- participate in cross-functional investigation teams for larger investigations
- support the regional investigation head in overseeing the investigation portfolio and stakeholder interaction
- identify opportunities for work process efficiencies and innovative approaches to completing scope of work
- opportunity to all handle regulatory matters relating to employee conduct
- Group Investigations was established as a group-wide competence center for investigations, defining the framework for investigations across UBS, conducting key investigations, providing eDiscovery support and data analytics for its own investigations (and those undertaken by other functions) in addition to delivering comprehensive reporting to the governance bodies, e.g. Global Executive Board and Board of Directors. Group Investigations has regional investigation teams in Zurich, London, New York/Nashville, Singapore and Hong Kong, comprising multi-disciplinary skills and expertise typically found in professional services firms and in-house audit, legal and information technology departments.
- We aim at providing effective investigative work by efficiently deploying the firm's subject matter experts' knowledge and providing state-of-the-art infrastructure. As a multidisciplinary team we analyze topics under various aspects, including assessment of business processes, control framework and behavior.
- relevant hands-on investigation experience from a position at a regulator, government agency, financial services firm (including legal, compliance, audit or other functions), law or accounting/forensic firm, or a consulting firm
- experience conducting interviews in connection with investigations
- forensic data analytics experience a plus
- experience in assessing control frameworks and behavior
- strong analytical, writing and case management skills
- preferred 5+ years of investigative experience; ideally in the financial services industry
- law Degree or other relevant advance degree
- strong interpersonal and relationship building skills and the ability to interact and work with people from different business areas, functions, locations and cultures at all levels
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Investigation Specialist - Raleigh, United States - UBS
Description
Your roleDo you have sharp analytic skills, investigations experience, high integrity and enjoy working in a team of highly skilled experts?
For the Americas regional investigation team, we are looking for someone to:
Group Investigations overview:
Group Investigations covers all UBS divisions:
Global Wealth Management, Asset Management and Investment Banking.
We are continuing to build our team for the Americas and are actively recruiting experienced investigators/attorneys with experience in conducting a wide variety of investigations, including those involving potential violations of industry regulations and/or Firm policy, as well as other compliance and ethical issues.
You will partner with HR, Compliance & Operational Risk, Field Supervision, and Legal, prepare internal reports and advise on enhancements to Firm policies and procedures.
Your expertise:
UBS is the world's largest and the 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.
We have a presence in all major financial centers in more than 50 countries.
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.
