Poland

Compliance

Group Functions

Your role

Do you have proven experience in executing and supporting assurance reviews or audits, identifying complex financial crime risks and agreeing improvements to processes and controls? Can you clearly communicate risks and issues to senior and executive management? You will:
- Ensure effective execution of FCPA reviews requirements over UBS affiliates under FINMA AML Ordinance (AML–O 6), as part of an annual program of detailed on-site or remote location reviews and cross-jurisdictional thematic reviews.
- Work with colleagues in Financial Crime Prevention Risk, Divisional CORC Group Internal Audit, and with other stakeholders to execute review activities that target financial crime control processes across first and second line of defense.
- Assess and analyze 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.
- Advise on best practices and improvement opportunities for more effective financial crime remediation.
- Represent the team, as part of a wider FCP Assurance function, to senior stakeholders in compliance and across the business and participate in global Assurance programs and activities.
International travel across EMEA region will be required as part of this role and you should be comfortable with working in a wide variety of locations.

Job Reference #

311747BR

City

Kraków, Wroclaw

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

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. Your colleagues are a team of talented, motivated professionals, and you'll work with all stakeholders at all levels from compliance teams and the business.
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 defense; 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. As a Regional Team Lead you will be in charge of managing a team on the ground, overseeing testing of different parts of FCP program, timely delivery of competing priorities and communicating progress to the relevant regional and global leads.

Your expertise

- Bachelor’s or master’s degree required.
- 8 + years' experience ideally in AML compliance roles covering: wealth management, broker dealer, retail and/or private bank, and/or correspondent bank or equivalent experience (broader experience in a large global financial services organization is highly desirable).
- Prior experience in QA testing, Internal Audit and/or regulatory reviews (i.e., you know how to review KYC/ PKR files, and/or disposition alerts/reports and investigations).
- Excellent report writing skills with the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority.
- Great communication skills in English in order to effectively engage with key stakeholders.
- Demonstrable experience successfully managing diverse team and working with business stakeholders at a variety of levels.
- Very good understanding of control management and/or audit methodology, from planning through execution to reporting.
- Reasonable understanding of AML regulations and policy and some knowledge across Anti Bribery and Corruption, Sanctions control and Anti-fraud disciplines.
- Able to ‘think on your feet’, balancing commercial objectives with legal, regulatory, and ethical considerations to arrive at sound judgments and decisions and providing compelling solutions.
- Analytical with the ability to provide practical solutions and prioritize a diverse workload with multiple deadlines.
- Team player and strong collaborator.

About us

UBS is the world’s largest and the 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..

We have a presence in all major financial centers in more than 50 countries.

Join 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?

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.

Report misconduct: If you are made aware of any of our employees or individuals acting on behalf of UBS engaging in acts of misconduct under the Poland Whistleblowing Act, you may report your concerns through Poland-Whistleblowing@ubs.com