Trade Surveillance Operations Analyst

Responsibilities

• Perform automated and manual market conduct surveillance activities across Investment Bank and Wealth Management divisions.
• Analyze potentially suspicious activities flagged by surveillance systems and conduct end-to-end investigations.
• Engage with business stakeholders regarding market conduct escalations and regulatory matters.
• Conduct 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 Information Barrier Policies and insider trading.
• Drive continuous process improvements and contribute to strategic automation and optimization initiatives.
• Utilize the SMARTS calibration module to review and challenge existing parameters and thresholds.

Requirements

• 7+ years of experience in capital market compliance, exchange operations, trading desk, audit, or AML compliance.
• At least 3 years of relevant work experience specifically within the Trade Surveillance domain.
• Deep knowledge of Investment Banking and Wealth Management businesses, financial markets, and trade lifecycles (focus on equities and ETDs).
• Proven experience using the SMARTS surveillance system to investigate alerts.
• Proficiency in conducting market conduct investigations and drafting reports for external regulatory bodies.
• Experience performing market conduct risk assessments and impact/gap assessments following regulatory changes.

About the Company

UBS is a leading global wealth manager and the leading universal bank in Switzerland. We provide diversified asset management solutions and focused investment banking capabilities, operating in more than 50 markets around the globe. We place collaboration at the heart of everything we do to ensure we meet our regulatory obligations and maintain market integrity.