Trade Monitoring and Surveillance Specialist

2 months ago

London, United Kingdom UBS Full time

United Kingdom
- Compliance, Equities
- Group Functions

**Job Reference #**
- 275349BR

**City**
- London

**Job Type**
- Full Time

**Your role**
- The role is to undertake trade surveillance monitoring for the IB UK business activities within the MS&C UK Regional Team to ensure adherence to the key Market Conduct taxonomy, regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks. This will entail close and continuous collaboration with the IB business as well as other MS&C and C&ORC colleagues to ensure collaboration with other team initiatives.

**Your team**
- This role sits in our IB Trade Surveillance team which is based in London and Krakow (this particular role is London based). The team conducts daily surveillance for Equities and ETD's traded on European markets using automated surveillance solutions (SMARTS and Actimize).

**Your expertise**
- We are looking for someone like you to be a part of our IB Trade Surveillance Team. You will be responsible for:
- Conducting daily analysis of automated surveillance alerts through system such as SMART, Actimize, etc.
- Identifying and escalating any potential concerns or risks relating to, but not limited to regulatory rules such as MAR, MIFID 2 and firm policies;
- Active involvement in enhancing current surveillance controls and developing new surveillance tools, reports and procedures;
- Liaising regularly with other Group Compliance, Regulatory & Governance areas, including the other Global Surveillance functions, Business Aligned Compliance and other areas as required;
- Working with C&ORC IT to deliver projects against defined timelines.

Qualifications/Experience- Bachelor or Master degree, preferably finance / law related;
- Preferred 2-3 years of relevant experience in a trade surveillance related role using SMARTS and/or Actimize;
- Good knowledge of Equities and ETD products;
- Good understanding of market abuse regulations and potential market abuse related scenarios;
- Good knowledge of MS Office;
- Ability to prioritize own workload and to work in a team;
- Strong analytical skills and attention to detail;
- Confidence to challenge the status quo and demonstrate strong risk awareness;
- Excellent judgment and decision making skill

**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**
- 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?

**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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