UBS Financial Services Trade Surveillance Analyst in Zürich, Switzerland
Do you have sharp analytical skills? Are you solution oriented? Are you passionate about financial markets and regulation? Do you specialize in trade surveillance/ market conduct? We are looking for someone like that to:
– investigate cases of potential market abuse (insider dealing and market manipulation) across automated alerting systems (e.g. SMARTS and ACTIMIZE) and manual based controls in a timely manner. These investigations will be across asset classes and business divisions (Asset Management, Wealth Management and Investment Bank);
– assist with ad hoc deep dive reviews of activity, which include reviews in response to regulator/exchange queries, using internal systems and external resources;
– drive continuous improvement of the surveillance framework including input to regular design and operational effectiveness evaluations and the refinement and recalibration of controls;
– contribute to the implementation of strategic department projects including global and regional initiatives;
– participate in implementation activities including testing and integration;
– assist in the production of effective management information reports for 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.
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 Monitoring, Surveillance and Controls Team in Zurich specializing in Trade Surveillance. The team is responsible for identifying, escalating and reporting instances of potential market abuse using SMARTS and Actimize automated systems as well as manual and desk based reviews. The team collaborates with many internal and external parties such as the Business, the Regulatory Investigations Group as well as surveillance vendors and IT to enhance monitoring and expand into new products and asset classes. The team keeps up to date with relevant regulatory requirements such as MiFID II, MAR, FINMA rules and financial markets news which influence surveillance activity and development.
Your experience and skills:
university qualification preferably in Finance, Economics or Law
up to three relevant compliance experience in Investment Banking, Asset or Wealth Management.
experience of Market Abuse Trade Surveillance using SMARTS / Actimize or experience within a control environment is advantageous
a sound understanding of the regulatory environment relating to market abuse and the current issues / challenges faced;
a genuine interest in financial markets and market abuse regulation;
Sound ability with Microsoft Office package; particularly Microsoft Excel.
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 #: 173603BR
Business Divisions: Corporate Center
Title: Trade Surveillance Analyst
Job Type: Full Time
Country / State: Switzerland - Zürich
Function Category: Compliance