UBS Hong Kong Hong Kong
2 weeks ago
Job Reference #
• drive or work as a team member on reviews and audits of specific business areas, including investment products, product and client suitability, management of conflicts of interest, cross-border related aspects, including thematic and front-to-back,
• analyze and assess risks arising from both the business and support functions
• identify and evaluate the effectiveness of controls designed to address those risks
• document and communicate audit issues, root causes and risks, and prepare reports of audit findings for UBS senior management
• develop recommendations for items that solution owners should consider when finalizing their action plans
• review remediation actions submitted by the business for closure to assess whether these have addressed the original risks
• support senior auditors and Risk SMEs in the quarterly continuous risk assessment
• successfully collaborate with peers in and across audit teams
• develop and... maintain relationships with senior management
You will be working in Group Internal Audit (GIA) Team in Hong Kong. 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 the GWM division and Group Functions (GF) globally. We are independent in our work and report directly to the Chairman of the Board and the Audit Committee.
We are a talent powerhouse that attracts and develops the best people by driving career growth in and outside the department. Our GWM HK team, part of the WM APAC team, is mainly responsible for auditing investment products, product and client suitability, management of conflicts of interest, cross-border related aspects. In your role, you will be covering the audits of GWM in Hong Kong and APAC.
• 5 years+ experience in audit within the financial industry. This experience could have been gained at a consulting firm or in an internal audit function.
• Strong knowledge of investment products, product and client suitability, management of conflicts of interest, cross-border related aspects
• strong analytical skills and quantitative approach to problem solving
• you are able to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures.
• willingness to keep up with industry, regulatory developments and learn new concepts and methods,
• ability to effectively communicate with senior stakeholders.
• risk focused, and capable of using data analytics to gain insights into investment products, product and client suitability, management of conflicts of interest, cross-border related aspects
• reliable when working on your own, with sound judgment for when to escalate issues,
• fluent in English with excellent verbal and written skills. Additionally, fluency in Chinese would be an asset.
UBS is the world’s largest and 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.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of 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
GWM Auditor in APAC Hong Kong jobs
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