UBS Financial Services Technology Risk Management: SOX, IMT & Audit Liaison (DI) in London, United Kingdom
Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? We're looking for someone like that to:
• Serve as key Group Technology point of contact for GIA and risk and regulatory shared service teams in internal meetings, ensuring that all action items assigned to Technology are completed in accordance with agreed on timelines (and that extension requests are minimal or non-existent). Collaborate with functional risk managers and their teams to ensure these deliverables adequately represent all stakeholders and that we can effectively represent Group Technology in this forum.
• Ensure all internal audits with direct or indirect Group Technology impact are assigned the appropriate Technology Risk Manager (or their designee, where appropriate), and that Technology Risk Teams know their responsibilities for involvement in each GIA Review. Ensure new audits are not \"orphaned\", or that any audits not assigned to a Technology Risk Manager are identified and escalated.
• Act as a single point of contact across on Group Technology audits, and maintain a relationship with the Group Technology audit team.
• Identify thematic issues raised in GIA reviews for cross-divisional impact, and present these findings on a recurring basis to the Technology Risk MC and also to the GIA-1B forum, as requested (in line with the agenda schedule, ensuring that extension requests are minimal or non-existent).
• Design and implement a process for engaging with IMT and the SOX Office, through collaboration across the TRM Management Committee (to solicit feedback). Ensure process includes (at minimum): 1) ability to challenge (and escalate) IMT issues when factual accuracy is not agreed; 2) adequate Technology Risk Manager feedback on the issue itself (to limit administrative tasks necessary during SOX 404 Committee meeting preparation), including (at minimum): compensating controls, mitigating actions, and sustainable solutions; and 3) development of ORIs or other actions to ensure remediation tasks are identified shortly after issues are identified (and prior to commencement of subsequent testing cycles).
• Support preparation for the quarterly SOX 404 Committee for Group Technology, including necessary updates to the SOX Watch Lists (through collaboration with Control Owners and functional risk managers), in line with timeliness agreed with the SOX Office. Ensure any submissions have been formally vetted with the Head of Technology Risk Management for feedback well in advance of submission deadlines.
• Establish and maintain positive and collaboration relationships with key stakeholders in SOX Office, IMT, and GIA, to ensure Group Technology involvement with SOX, IMT, and GIA processes functions smoothly and tasks are proactively managed.
• Proactively manage any actions and requests from the TRM Management Office, ensuring tight coordination on timelines and effective communication/collaboration to provide status updates.
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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’ll be working in the Technology Risk Management (TRM) organization in London as part of our Regional, Regulatory and Audit oversight team. Our remit is to ensure that Technology operate as documented in the Operational Risk Framework (ORF) across regionally and functionally-aligned teams. We’re responsible for technology risk management, overseeing risk remediation, and ensuring technology controls are designed and operating effectively. You'll be working closely with your counterparts – business risk managers, Technology Services, as well as the 2nd and 3rd lines of defense.
Your experience and skills:
– a university degree
– experience in risk management, risk control, audit or compliance within Financial Services
– ability to manage a global team
– ability to work collaboratively and effectively with employees at all levels of the organization; and with senior business executives
– strong analytical skills, able to quickly understand complex processes, identify risks and inadequacies in procedures, as well as propose practical and sustainable solutions
– excellent communication skills, able to effectively communicate at different levels of an organization verbally and in writing
– a flexible and committed team player who enjoys working in a dynamic and collaborative environment
– risk focused, capable of using data analytics to gain insights into transactions, clients, and investment products
– able to work independently, dynamically prioritize, and escalate when necessary
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?
Job Reference #: 173097BR
Business Divisions: Corporate Center
Title: Technology Risk Management: SOX, IMT & Audit Liaison (DI)
Job Type: Full Time
Country / State: United Kingdom
Function Category: Audit, Information Technology (IT), Risk