Your role
Do you like financial markets? Are you good at handling and interpreting large data sets? Are you analytical and enjoy investigating financial transactions, understanding trading strategies and making sense of the unusual trading activity? Are you able to think independently and express your opinions and ideas confidently? We are looking for a Trade Surveillance Analyst in an individual contributor role with experience in the following:
• Performing manual market conduct surveillance activities across 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.
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 Financial Crime Monitoring Team in Singapore, 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.
Your expertise
• 3+ years of relevant work experience in the Trade Surveillance domain (banking and/or exchange-side).
• Ample knowledge of Wealth Management business, financial markets, products and trade lifecycle.
• 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:
• Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
• Able to independently represent the Team in various local, regional and global governance and oversight forums including audits exams and other inspections.
• Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.
