UBS Financial Services Investigation Specialist in New York, New York
Do you have sharp analytic skills, highest integrity and enjoy working in a team of highly skilled experts?
For our regional investigation team, we're looking for someone like this to:
– investigate cases assigned to the group, including whistleblowing cases
– participate in cross-functional investigation teams for larger investigations
– prepare investigation and whistleblowing closing reports
– analyze the portfolio of investigations in the region
– support the regional investigation head in overseeing the investigation portfolio and stakeholder interaction
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.
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.
Group Investigations has been newly established as a group-wide competence center for investigations, defining the framework for investigations across UBS, conducting key investigations, providing eDiscovery counseling and data analytics for its own investigations and those undertaken by other functions and delivering comprehensive reporting to the governance bodies, e.g. GEB and BoD. Group Investigations has its own investigation teams in Zurich, London, New York, Singapore and Hong Kong, comprising multi-disciplinary skills and expertise typically found in professional services firms and in-house audit, legal and information technology departments. We are building our team for the Americas and are actively recruiting experienced investigators/attorneys with broad experience in conducting a wide variety of investigations, including those involving potential violations of industry regulations and/or Firm policy, as well as other compliance and ethical issues. You may counsel and provide legal advice to Management on employee disciplinary matters and attendant regulatory risk. In making recommendations, you would partner with HR, Compliance & Operational Risk, Field Supervision, and Legal. You also will prepare internal reports and attend to regulatory filings, as necessary. Finally, you will advise on enhancements to Firm policies and procedures.
We aim at providing effective investigative work by efficiently deploying the firm's subject matter experts' knowledge and providing state-of-the-art infrastructure. As a multidisciplinary team we analyze topics under various aspects, including assessment of business processes, control framework and behavior.
Your experience and skills:
– relevant investigation experience from a position in a law firm and/or financial services firm (Legal, Compliance)
– experience in assessing control frameworks and behavior
– strong project management skills, relationship building skills and the ability to interact and work with people from different functions, locations and cultures at all levels
- preferred 6+ years of legal practice in securities law or in-house at a financial institution
• strong analytical and interpersonal skills;
- highly organized and detailed-oriented; strong written and oral communication skills;
– proud of your ability to write and speak about complex matters in a cohesive manner
– known for your ability to learn quickly and apply good judgment and a collaborative spirit
– able to work independently and within compressed timeframes
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 almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 170346BR
Business Divisions: Corporate Center
Title: Investigation Specialist
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Audit, Compliance, Legal