Jobs
>
New York City

    Financial Crime Prevention Internal Audit - New York, United States - UBS

    UBS
    UBS New York, United States

    2 weeks ago

    Default job background
    Description
    United States - Connecticut, United States - New Jersey, United States - New York

    Audit

    Group Functions

    Job Reference #

    293155BR

    City

    New York, Stamford, Weehawken

    Job Type

    Full Time

    Your role

    Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? Were 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
    • 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
    Key Deliverables


    • 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.
    Your Career Comeback

    We are open to applications from career returners. Find out more about our program on

    Your team

    You will be working in the Global Financial Crime Prevention audit team in Group Internal Audit.

    GIA is 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 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.

    Our team is responsible for auditing the Global Financial Crime Prevention team, assessing the risks and controls to prevent and detect financial crime across the firm.

    Your expertise

    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.

    You are:

    • 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
    About us

    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.

    Salary information


    CA, CO, WA and NY based roles: The salary range for this role is $130,000 to $170,000 based on experience, education, and skill level.

    This role may be eligible for discretionary incentive compensation.


    For benefits information:
    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 its 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.

  • Invesco

    Internal Audit Manager

    5 days ago

    Invesco New York, United States

    As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehic ...

  • Payoneer

    Internal Audit Manager

    1 week ago

    Payoneer New York, United States

    **Internal Audit Manager, New York, NY (Hybrid)** · **Build Your Career | Love your Work | Make a Difference** · Payoneer's mission is to empower businesses to **_go beyond_** - beyond borders, limits and expectations. In today's digital world, Payoneer enables businesses of all ...

  • Oceanview Life & Annuity

    Manager, Internal Audit

    4 days ago

    Oceanview Life & Annuity New York, United States

    Overview: · We are seeking an Internal Audit Manager who would be excited to join a dynamic and highly collaborative team at a growing insurance company. The Internal Auditor will be responsible for performinng audits of financial, operational, and compliance risk managment as we ...

  • E Energie Deutschland GmbH

    Internal Auditor Technische Audits

    1 week ago

    E Energie Deutschland GmbH New York, United States

    E.ON ist einer der größten europäischen Betreiber von Energienetzen und Energieinfrastruktur sowie Anbieter innovativer Energielösungen. Unsere Mitarbeitenden arbeiten stetig daran, eine CO2-freie, digitale Energiewelt aufzubauen und unseren Kunden Zugang zu nachhaltiger Energie ...

  • Morgan Stanley

    Internal Audit Vice President

    3 days ago

    Morgan Stanley New York, United States

    Internal Audit Vice President - Operational Risk Management · Job Number: · 3251934 · POSTING DATE: May 15, 2024 · PRIMARY LOCATION: Americas-United States of America-New York-New York · EDUCATION LEVEL: Refer to Position Description · JOB: Other · EMPLOYMENT TYPE: Full Time · JO ...

  • FreedomCare

    Internal Audit Specialist I

    6 days ago

    FreedomCare New York, United States

    Started in 2016, FreedomCare is a Healthcare company that is innovating and revolutionizing the way home care is delivered. We bring dignity and support to patients needing care in their homes and to the caregivers who care for them. We're the largest consumer-directed home care ...

  • Paramount

    Data Analyst, Internal Audit

    5 days ago

    Paramount New York, United States

    Paramount is looking for an individual to supports its internal audit and risk initiatives for the Internal Audit and Strategic Risk Management department. This individual is a team player primarily responsible for supporting internal audit in providing data and insights across s ...

  • Touro University

    Internal Audit Interns

    1 week ago

    Touro University New York, United States

    The Touro University Virtual Internship is one of America's most ambitious programs for internal audit stewardship. The purpose of the Touro University Auditing Internship program is to provide gifted and highly motivated professionals and students with experience in the process ...

  • Touro University New York

    Internal Audit Interns

    1 week ago

    Touro University New York New York, United States

    Overview: · The Touro University Virtual Internship is one of America's most ambitious programs for internal audit stewardship. The purpose of the Touro University Auditing Internship program is to provide gifted and highly motivated professionals and students with experience in ...

  • Goldman Sachs

    Internal Audit

    1 week ago

    Goldman Sachs New York, United States Full time

    INTERNAL AUDIT · In Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group h ...

  • Goldman Sachs

    Internal Audit

    5 days ago

    Goldman Sachs New York City, United States Full time

    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and indiv ...

  • Goldman Sachs

    Internal Audit

    1 week ago

    Goldman Sachs New York, NY, United States Full time

    The Goldman Sachs Group, Inc · is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and indi ...

  • Citigroup Inc

    Internal Audit

    1 week ago

    Citigroup Inc New York, United States

    The IA Risk Transformation audit team is responsible for providing audit coverage of individual initiatives under the Risk & Control Transformation Program. · The Audit Director responsible for Risk and Control transformation is a senior level management position responsible for ...

  • Empire State

    Intern, Internal Audit

    1 week ago

    Empire State New York, United States

    Job Description · Job Description* Submitting a cover letter with resume is preferred* · BASIC FUNCTION: · Work on audits of ESD departments · WORK PERFORMED: · Assist Internal Audit staff with audits of ESD departments such as Finance, Treasury Loans & Grants, etc. · MINIMUM RE ...

  • Oppenheimer & Co. Inc.

    Internal Audit Intern

    1 week ago

    Oppenheimer & Co. Inc. New York, United States Part time

    Job Description · Job DescriptionWho We Are: · Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services indust ...

  • Royal Bank of Canada

    Manager, Internal Audit Learning Enablement

    1 week ago

    Royal Bank of Canada Jersey City, United States

    **Job Summary** · **What is the Opportunity?** · As an Internal Audit Learning Enablement Consultant, Learning Specialization, you will be providing delivery, administrative and facilitation support for the U.S. Internal Audit Learning & Development (L&D) strategy to strengthen p ...

  • Oppenheimer & Co.

    Internal Audit Intern

    1 week ago

    Oppenheimer & Co. New York, United States Part time

    Who We Are: · Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities ...

  • Goldman Sachs

    Internal Audit

    1 week ago

    Goldman Sachs New York, United States

    Quality Assurance and Improvement Program (QAIP) Group · The QAIP Group is appropriately positioned to effectively and independently execute its mission by: · Supporting the delivery of high-quality, consistent, and risk-focused assurance work through the execution of quality ass ...

  • Hispanic Technology Executive Council

    Internal Audit

    1 week ago

    Hispanic Technology Executive Council New York, United States

    The IA Risk Transformation audit team is responsible for providing audit coverage of individual initiatives under the Risk & Control Transformation Program. · The Audit Director responsible for Risk and Control transformation is a senior level management position responsible for ...

  • Goldman Sachs

    Internal Audit

    6 days ago

    Goldman Sachs New York City, United States Full time

    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and indiv ...