UBS Financial Services Internal Auditor – Wealth Management APAC in Mumbai, India

Your role:

Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions?

We’re looking for someone like that to:

  • Conduct reviews and audits of wealth management business areas and its support functions,

including teams responsible for AML and KYC processes, financial crime, supervision, product

suitability, investment suitability and management, market conduct, or cross-border

  • Analyze and assess key risks and barriers to delivery assumed by the audited business and

support functions

  • Identify and evaluate the effectiveness of controls designed to address those risks, provide

practical, innovative and value-added solutions to issues identified,

  • Document and communicate audit issues, root causes and risks, and prepare reports of audit

findings for UBS senior management

  • Review remediation actions submitted by the business for closure to assess whether these have

addressed the relevant 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

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.

Your team:

You will be working in Group Internal Audit (GIA) Team in Mumbai. 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 all business divisions and Corporate Center (CC) functions 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. In your role, you will be responsible for auditing the Wealth Management business and its support functions in APAC region.

The position is based in Mumbai (Airoli Knowledge Park).

Your expertise:

You have:

  • A university degree,

  • Strong experience (7+ years) in WM business and related processes such as financial crime

compliance and investigations (e.g. KYC, AML), supervision, product suitability, investment

suitability and management, market conduct, or cross-border

  • This experience could have been gained in internal risk management areas within the financial

industry, at a consulting firm, regulator or in an internal audit function

  • An ability to identify risks relevant for WM business and processes

  • 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, as well as propose practical and sustainable solutions

  • Willingness to keep up with industry, regulatory developments and learn new concepts and


  • Ability to effectively communicate with senior stakeholders

You are:

  • Risk focused, and capable of using data analytics to gain insights into clients, products and


  • Reliable when working independently, with sound judgment for when to escalate issues,

  • A flexible and committed team player willing to travel to other UBS locations, mainly to other

APAC locations, for audit assignments up to 70%

  • Able to prioritize and balance your own workload – you have strong time management skills and

the ability to work under minimal supervision

  • Fluent in English with excellent verbal and written skills. Additionally, fluency in another Asian

language, preferably in Mandarin or Japanese, would be an asset

  • Curious and willing to discover all aspects of the bank, with the ambition to advance your career

in an international environment


About us:

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?

Your colleagues:

Job Reference #: 180176BR

Business Divisions: Corporate Center

Title: Internal Auditor – Wealth Management APAC

City: Mumbai

Job Type: Full Time

Country / State: India

Function Category: Audit