Financial Crime Prevention Control Testing Specialist
Job Reference #
Do you have proven experience in executing and supporting assurance reviews or audits, identifying complex financial crime risks and agreeing improvements to processes? Can you clearly communicate risks and issues to senior and executive management?
We’re looking for somebody like this who will:
• ensure effective execution of control testing related to Financial Crime Prevention, as part of an annual program
• work with colleagues in Financial Crime Prevention, Risk, Group Internal Audit, and with other stakeholders to execute review activities that target financial crime control processes
• assess and analyse complex data from multiple sources to draw insightful conclusions and identify risk concentrations
• report results to stakeholders on issues and concerns identified; and maintain strong working relationships with remediation owners across UBS to ensure that agreed actions are appropriately tracked and implemented
• support with quality assurance of the work conducted by peers and validation of the issue closure
• advise on best practices and improvement opportunities for more effective financial crime remediation
• represent the team, as part of a wider Assurance function, to senior stakeholders in compliance and across the business and participate in global Assurance programs and activities
Limited international travel may be required as part of this role and you should be comfortable with working in a wide variety of locations, however, no shift work is foreseen.
Financial Crime Prevention is a global program that drives remediation and root-cause resolution of regulatory and related AML, Sanctions, Fraud and Anti-Bribery & Corruption issues across all UBS locations. are a team of talented, motivated professionals, and you'll work with all stakeholders at all levels from compliance teams and the business. For now you will work in Exiumius Park in Zabierzow but soon at Fabryczna in Krakow.
The FCP Assurance function is responsible for all consolidated supervision, control testing and quality assurance activities within financial crime prevention including execution of periodic location reviews; control testing over first and second lines of defence; targeted quality assurance activities over execution of controls; setting and maintaining a strategy for assurance activity and reviewing the assurance program on an annual basis; working in conjunction with other control, monitoring and audit teams.
• 2+ years' experience ideally in compliance, audit or control assurance roles (experience in a large global financial services organization is highly desirable)
• demonstrable experience successfully working with business stakeholders at a variety of levels
• good understanding of control management and/or audit methodology, from planning through execution to reporting
• good communication skills in order to effectively engage with key stakeholders
• excellent written and spoken communications (in English), additional European language is an asset
• reasonable understanding of AML regulations and policy and some knowledge across Anti Bribery and Corruption, Sanctions control and Anti-fraud disciplines
• detail oriented, professionally curious and able to provide effective challenge
• team player and strong collaborator
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
UBS Recruiting Poland
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.
You are kindly requested to include the following clause in your application: "Wyrażam zgodę na przetwarzanie moich danych osobowych zawartych w ofercie pracy dla potrzeb procesu rekrutacji zgodnie z ustawą z dnia 27.08.1997r. Dz. U. z 2002 r., Nr 101, poz. 923 ze zm."