Market Conduct Monitoring Specialist

☞ UBS

View: 139

Update day: 25-04-2024

Location: Zürich Zürich ZH

Category: Legal / Contracts

Industry: Finance

Job type: Temps plein, Temps de travail : 90-100%

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Job content

Switzerland - Zürich
Compliance
Group Functions

Job Reference #

245932BR

City

Zürich

Job Type

Full Time

Your role

Do you have a genuine interest in the financial markets and know/want to learn how to identify potentially suspicious activity such as insider dealing and market manipulation?
We’re looking for a Market Conduct Analyst for the Regional Monitoring, Surveillance and Controls team based in Zürich to:

  • investigate cases of potential market abuse (insider dealing and market manipulation) across automated alerting systems (e.g. SMARTS (NASDAQ Trade Surveillance) and ACTIMIZE) and manual based controls in a timely manner. These investigations will be across asset classes (e.g. cash equities, structured products, Exchange Traded Derivatives etc.) and business divisions (Asset Management, Global Wealth Management, Personal & Corporate 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.

Your team

You’ll be working in the Monitoring, Surveillance and Controls Team in Zurich specializing in Market Conduct. We are responsible for identifying, escalating and reporting instances of potential market abuse using automated surveillance solutions (e.g. SMARTS (NASDAQ Trade Surveillance), ACTIMIZE, SteelEye etc.) as well as manual desk based reviews.
We collaborate with many internal and external parties such as the Business, Business Risk Management, the Regulatory Investigations Group as well as surveillance vendors and IT to enhance monitoring and expand into new products and asset classes. We also keep up to date with relevant regulatory requirements such as MiFID II, MAR, FINMA rules and financial markets news which influence surveillance activity and development.


Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

  • university qualification preferably in Finance, Economics or Law and/or excellent market understanding;
  • two years plus relevant compliance/control environment experience in Investment Banking, Asset Management, Personal & Corporate or Wealth Management;
  • experience of Market Abuse Trade Surveillance;
  • sound understanding of the regulatory environment relating to market abuse;
  • genuine interest in financial markets and market abuse regulation;
  • very good ability with Microsoft Office package, particularly Microsoft Excel.

About us

UBS is the world’s largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Join us

From gaining new experiences in different roles to acquiring fresh knowledge and skills, at UBS 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 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.
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Deadline: 09-06-2024

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