Do you have sharp analytic skills? Are you a stickler for getting things right?
We are looking for a Trade Surveillance Analyst to:
• handle day to day operation of the SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions;
• investigate and close out monitoring alerts thoroughly in a timely manner
• ensure significant issues identified are fully investigated and promptly escalated where necessary
• drive continuous improvement of the surveillance framework including refinement and recalibration
• contribute to and implementing strategic department projects including global and regional initiatives
• participate in implementation activities including testing and business integration
• assist to produce effective management information reports for Senior Management
The team uses SMARTS and Actimize to identify instances of potential market abuse. This is supported by manual and desk based routines. The team collaborates with many internal and external parties such as the business, regulatory investigations to raise escalations and surveillance vendors to enhance monitoring and expand into new product classes and markets. The team stays up to date with relevant regulatory requirements and financial market news which influence surveillance activity and development.
• A minimum of 3-5 years of relevant work experience either within Trade Surveillance, Compliance or a Regulatory Authority
• The ability to identify suspicious trade patterns;
• The confidence to question current state behavior
• Able to articulate findings and to document such effectively;
• Technically proficient, skilled in working with Excel
• Able to prioritize conflicting tasks, identifying what is essential and focusing on such
• Thorough record-keeping abilities and attention to details
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.
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.