UBS

<b>Senior APAC Audit Manager (Compliance & ORC Audit)</b>

UBS
Full Time
Junior (less than 3 years)
Non-specified
English

Job Description

<b>Senior APAC Audit Manager (Compliance & ORC Audit)</b>

Location: Hong Kong

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 globally. We are independent in our work and report directly to the Chairman of the Board of Directors and the Audit Committee.

GIA's structure consists of divisional audit teams throughout the world, reflecting UBS's business structure. We are looking for an outstanding professional to join our dynamic Compliance & Operational Risk Control (C&ORC) Audit team in APAC as a Senior Audit Manager. In this role you will leverage your understanding to plan, perform and report the results of audits of governance processes, compliance and operational risk, outsourcing and offshoring and related risks cross-divisionally.

Your main responsibilities are:

  • Acting as a compliance expert within the C&ORC Audit team, especially in relation to client related business conduct and market conduct.
  • Developing a forward-looking view of governance, compliance and operational risks across the firm and provide high quality input into the annual planning and continuous risk assessment processes.
  • Driving the audit coverage for the aforementioned areas. In related audits your role will be either: Responsible Auditor, team member or subject matter expert, depending on the audit. You will also have the opportunity to work on audits across the broader Risk & HR Audit team, such as Legal, HR, and Credit or Market risk. In these audits, you will identify and evaluate the effectiveness of controls designed to address those risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of audit findings for UBS senior management at local, global, functional and Group levels.
  • Developing and maintaining relationships with senior management in C& ORC.


  • Our ideal candidate should have the following requisites:
  • You have gained strong experience in audit or internal control function areas within the financial industry.
  • You have in-depth experience of compliance, conduct, and operational risks.
  • You have an in-depth knowledge of the global regulatory environment, especially in relation to market conduct, fraud prevention, and client related business conduct.
  • You are experienced in building relationships with senior management.
  • You are a flexible and committed team player, experienced in executing global audits, and willing to travel to other UBS locations for audit assignments when necessary.
  • You are fluent in English.

  • Technical Skills

    • Audit
    • Compliance
    • Internal Audit
    • Internal Control
    • Operational Risk
    • Risk Assessment
    • Risk Management