Financial Crime Prevention Compliance Testing Analyst
Do you want to keep criminals from abusing the financial system? Are you someone who likes to do the right thing? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
• support the planning, execution and manage delivery of compliance testing reviews of AML, Sanctions, Anti-bribery & Corruption, and Fraud (Financial Crime Prevention (FCP)) internal controls across the first and second lines of defense for all business lines in the Americas region
• identify and evaluate the effectiveness of controls designed to address FCP risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of compliance testing findings for management at local, functional and as needed, Group levels
• develop and draft compliance testing reports summarizing design review and testing results and remediation efforts required by line management to address open issues
• help to develop applicable and appropriate compliance testing methods, processes and templates to be used for specific compliance tests of our various Americas business and control functions and proactively contribute towards developing detailed compliance testing procedures, guidance and FAQs
• assist with the preparation of the annual FCP testing plan
We are currently seeking a Compliance Testing Analyst based in Weehawken, reporting to the FCP Americas Head of Assurance.
Our role is to support Americas Financial Crime Prevention in achieving its FCP compliance objectives. We do this by assessing and testing FCP internal control processes within the first- and second-lines of defense in the Americas region.
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.
• ideally 4-year college degree or international equivalent, with a focus in a finance or internal audit related fields
• ideally 3+ years of experience performing FCP compliance testing and/or internal audit/program assessments either at a bank or broker dealer, or consulting to a bank or broker dealer
• familiar with the products of one or more of the following businesses areas: investment banking, wealth management, private banking and asset management
• industry knowledge of relevant regulations, regulatory expectations, testing concepts and methods (e.g., sampling, etc.) is preferred
• firm grasp of Anti-Money Laundering policy and regulations; CAMS, CFE, CIA certification is an advantage
• analytical, with the ability to provide practical solutions and prioritize a broad workload with multiple deadlines
• well organized, especially in the areas of testing workpapers, documenting testing results and decision making, as these will be subject to review by internal audit and regulators
• good team player, and ability to work independently
• an effective communicator with all levels, strong verbal and in writing skills
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.