Compliance Expert / Auditor - Monitoring, Surveillance & Testing

We’re looking for a GIA Compliance Expert / Auditor (Monitoring, Surveillance & Testing) to:

• identify and evaluate the design and operating effectiveness of controls in the AML, Sanctions or Market Conduct space
• highlight where controls are functioning well or where UBS needs to act to better manage current and emerging risks, and escalate any significant concerns appropriately
• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required
• where relevant, develop issues and audit reports according to our internal reporting and issue disposition standards that are fully supported by the work done and require minimal feedback from reviewers.
• successfully collaborate with peers in and across audit teams
• build and maintain constructive relationships with colleagues and relevant stakeholders at all levels including senior management

Your team

In our agile operating model, audit crews are aligned to business and functional areas, products and services and consist of a number of autonomous pods. You’ll be working in the Monitoring, Surveillance and Testing audit team in SG focusing on risk assessing and auditing second line of defense processes and the control environment related to AML, Sanctions and Market Conduct surveillance topics.

Your expertise

• strong analytical skills and ability to identify key risks within a variety of transaction processes and critically challenge information
• solid experience in an internal controls, business risk or audit function within the financial services industry covering compliance, financial crime, conduct and operational risks
• ability to quickly understand complex processes and challenge the status quo, identifying risks and inadequacies in processes
• willingness to keep up with industry, regulatory developments and learn new concepts and methods
• strong communication and networking skills to work collaboratively with stakeholders at all levels
• You’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.