Auditor Investment Banking

UBS•New York, NY

4d•$120,000 - $160,000

About The Position

UBS is seeking an Audit Expert (Associate Director) for the IB Execution Services and Research Audit team within the Investment Bank Audit Stream in New York. The role leads audit work covering high-volume trading businesses, including electronic and algorithmic trading, and products such as Equities, exchange-traded derivatives (ETD), and Foreign Exchange (FX). The team also maintains relationships with Investment Bank management and control functions, continuously assesses business risk profiles, and addresses inquiries from US regulators. The position plans and leads audits, issue assurance, and risk assessment reviews; evaluates controls and emerging risks; and produces supported audit issues and reports in accordance with internal standards. It requires collaboration across audit teams and constructive relationships with stakeholders at all levels. UBS describes its work model as agile and notes that flexible working options may be available when possible.

Requirements

Bachelor’s or master’s degree, or equivalent, focused on finance, business administration, or accounting/auditing.
Four or more years of audit experience in a similar position focused on investment banking trading activities, such as cash equities, exchange-traded derivatives, and FX.
Strong understanding of trading products, market risk, and regulatory frameworks such as SEC, FINRA, and MiFID II.
Strong analytical skills and a quantitative approach to problem solving.
Ability to quickly understand complex processes, challenge the status quo, and identify risks and process inadequacies.
Willingness to keep up with industry and regulatory developments and learn new concepts and methods.
Ability to communicate effectively with business leads and management.
Curiosity about using AI to improve workflows, with sound judgment in validating outputs and aligning use with policies, risk standards, and ethical requirements.

Nice To Haves

Understanding of risks and controls related to electronic trading.
Big Four audit experience within the financial services sector.

Responsibilities

Plan, execute, and lead audits, issue assurance, and risk assessment reviews to provide the expected level of assurance.
Identify where controls are functioning well and where UBS should act to manage current and emerging risks; appropriately escalate significant concerns.
Develop issues and audit reports, where relevant, in accordance with internal standards and supported by completed work.
Meet internal standards for the quality, execution, and documentation of work, including legal entity coverage expectations where required.
Collaborate proactively with peers within and across audit teams.
Build and maintain constructive relationships with colleagues and relevant stakeholders at all levels, including management.
Maintain relationships with Investment Bank management and control functions.
Continuously assess the risk profile of relevant UBS Investment Bank businesses.
Address inquiries from US regulators.