India

Compliance, Risk

Group Functions

Your role

We are looking for a Senior Trade Surveillance Analyst in an individual contributor role with experience in the following:
• Performing automated and manual market conduct surveillance activities across Investment Bank and Wealth Management division.
• Analyzing instances of potentially suspicious activities flagged by our systems.
• Engaging with business stakeholders on the market conduct-related escalations and other matters.
• Driving continuous process improvements and contributing to strategic projects and automation/optimization initiatives.
• Conducting information barrier trade surveillance for firm, customer, and employee personal account dealing (PAD) Monitor the flow of material nonpublic information (MNPI) to detect potential breaches of the firm's Information Barrier Policy, restricted list, and insider trading.
• This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

Job Reference #

301046BR

City

Pune

Job Type

Full Time

Your team

Our Team's purpose is to ensure UBS continues to meet regulatory obligations regarding identifying and reporting to the relevant authorities instances of market abuse and other misconduct that adversely impacts financial markets.
As a member of the Market Conduct Surveillance Team in Pune you will have an opportunity to:
• Learn about UBS and its clients’ trading strategies and profiles.
• Understand the regulatory framework of the exchanges and markets you will 'own'.
• Investigate events flagged by our surveillance systems.
• Get to the bottom of trading activity that you deem potentially suspicious.
• Prepare investigative reports summarizing key findings.
• Contribute to the team discussions, investigations and knowledge sharing.
• Work in an international Team with a regional mandate.
• Work collaboratively with regional and global partners in other functional units.

Your expertise

You have:
• 12+ years of experience in capital market compliance, exchange operations, trading desk, Audit, AML compliance, financial crime investigation and at least 6 years of relevant work experience in the Trade Surveillance domain (banking, broker and/or exchange-side).
• Ample knowledge of Investment Banking and Wealth Management businesses, financial markets, products and trade lifecycle with a particular focus on equities and ETDs.
• Firsthand experience in performing market conduct-specific risk assessments, impact/gap assessments on the back of regulatory changes and enforcement actions, and in-depth design reviews of surveillance framework, policies and procedures.
• Strong compliance mindset, confidence to question the ‘status quo’ and challenge stakeholders when the responses are not satisfactory.


You are:
• Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
• Experienced in conducting market conduct investigations for complex cases, drafting, and filing reports to external regulatory bodies.
• Proficient in using SMARTS calibration module, including reviewing, and challenging the existing parameters and thresholds to ensure they remain fit for purpose.
• Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.
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About us

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.