Director, Financial Crime Prevention Auditor
Apply NowCompany: UBS
Location: Stamford, TX 79553
Description:
Your role
Are you an innovative thinker? Do you enjoy delivering enhanced change capabilities across a range of business functions? Are you passionate about IT process automation using cutting edge tooling platforms?
We're looking for a Director, Financial Crime Prevention Auditor to:
Conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to identified issues.
Analyze and assess risks arising from both the business and support functions.
Identify and evaluate the effectiveness of controls designed to address those risks.
Clearly document audit findings, monitor issue remediation and the evolving risk profile and developments across Financial Crime Prevention and provide input for planning sessions.
Use data analytics to gain insights into transactions and clients.
Prepare reports of audit findings for UBS senior management.
Monitor the results, risk profile, and developments relating to Financial Crime Prevention and provide input for planning sessions.
Responsible for local and global regulatory issue validations for wealth management, investment banking, and asset management audit areas, anti-fraud framework, and anti-money laundering framework.
Qualified Applicants apply through SH-ProfR[redacted]. Please reference 001577. NO CALLS PLEASE. EOE/M/F/D/V
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.
Your team
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.
You'll be working in the Internal Audit team in Stamford, CT.
Your expertise
Education & Experience Requirement
Master's degree or foreign equivalent in Legal Studies, Accounting, Finance, or a related field of study plus five (5) years of experience in the job offered, Internal Auditor, Financial Auditor, or related occupation.
Alternate Education & Experience Requirement
Bachelor's degree or foreign equivalent in Legal Studies, Accounting, Finance, or a related field of study plus seven (7) years of experience in the job offered, Internal Auditor, Financial Auditor, or related occupation in lieu of a Master's degree and five (5) years of experience.
Position requires experience with the following:
financial crime related risks including Anti-Money Laundering, Know Your Customer, Sanctions, Anti-Bribery and Corruption
Anti-Money Laundering vetting tools for customer due diligence and client investigations
Periodic client due diligence requirements
Tableau or equivalent
performing transaction analysis and providing a view on client's transaction patterns
data analytics tools such as Alteryx
analyzing large datasets such as transaction databases or client information
Regulatory issue validations for different audit areas including principal vs agent, supervision, anti-fraud framework, OFAC, and anti-money laundering.
Requires Anti-Money Laundering Specialist (CAMS) Certification.
*LI-DNI
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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Are you an innovative thinker? Do you enjoy delivering enhanced change capabilities across a range of business functions? Are you passionate about IT process automation using cutting edge tooling platforms?
We're looking for a Director, Financial Crime Prevention Auditor to:
Conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to identified issues.
Analyze and assess risks arising from both the business and support functions.
Identify and evaluate the effectiveness of controls designed to address those risks.
Clearly document audit findings, monitor issue remediation and the evolving risk profile and developments across Financial Crime Prevention and provide input for planning sessions.
Use data analytics to gain insights into transactions and clients.
Prepare reports of audit findings for UBS senior management.
Monitor the results, risk profile, and developments relating to Financial Crime Prevention and provide input for planning sessions.
Responsible for local and global regulatory issue validations for wealth management, investment banking, and asset management audit areas, anti-fraud framework, and anti-money laundering framework.
Qualified Applicants apply through SH-ProfR[redacted]. Please reference 001577. NO CALLS PLEASE. EOE/M/F/D/V
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.
Your team
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.
You'll be working in the Internal Audit team in Stamford, CT.
Your expertise
Education & Experience Requirement
Master's degree or foreign equivalent in Legal Studies, Accounting, Finance, or a related field of study plus five (5) years of experience in the job offered, Internal Auditor, Financial Auditor, or related occupation.
Alternate Education & Experience Requirement
Bachelor's degree or foreign equivalent in Legal Studies, Accounting, Finance, or a related field of study plus seven (7) years of experience in the job offered, Internal Auditor, Financial Auditor, or related occupation in lieu of a Master's degree and five (5) years of experience.
Position requires experience with the following:
financial crime related risks including Anti-Money Laundering, Know Your Customer, Sanctions, Anti-Bribery and Corruption
Anti-Money Laundering vetting tools for customer due diligence and client investigations
Periodic client due diligence requirements
Tableau or equivalent
performing transaction analysis and providing a view on client's transaction patterns
data analytics tools such as Alteryx
analyzing large datasets such as transaction databases or client information
Regulatory issue validations for different audit areas including principal vs agent, supervision, anti-fraud framework, OFAC, and anti-money laundering.
Requires Anti-Money Laundering Specialist (CAMS) Certification.
*LI-DNI
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.
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.