Global Head of Market Conduct Surveillance Execution

7 days ago

London, United Kingdom UBS Full time

United Kingdom
- Compliance
- Group Functions

**Job Reference #**
- 262737BR

**City**
- London

**Job Type**
- Full Time

**Your role**
- Do you have experience managing complex market conduct surveillance programs from an execution perspective? Can you lead teams with the drive and passion needed to develop people and processes targeting complex market conduct risks? Do you lead by example with a strong commitment to integrity?
- We are looking for a Global Head of Market Conduct Surveillance Execution like you to help us:
- drive our execution surveillance programs globally, which will include execution of the trade surveillance program for Equities, Options, Futures, Electronic Trading Derivatives, Fixed Income Rates and Credit, Information Barriers, FX and Precious Metals and Benchmark Submission across our Investment Bank (Global Banking & Global Markets), Wealth Management and Asset Management businesses
- drive consistent Execution Surveillance standards globally and across divisions and ensure information sharing across regional teams where appropriate
- participate in trade surveillance Working Groups and the Global Market Conduct & Abuse Taxonomy Board which oversees regional and global implementation of market conduct surveillance and draws input from first line supervision, business aligned compliance, taxonomy owner, group investigations, regional trade surveillance teams, Compliance IT (among others)
- participate in the annual refresh / maintenance of the market conduct product framework and global monitoring control standards.;
- liaise with product management teams to ensure existing trade surveillance models and scenario parameters are appropriately calibrated and execute existing global calibration process;
- take ownership of remediation items (self-identified or regulatory/audit identified) to ensure these are managed and remediated on a timely basis;
- ensure governance processes are executed accurately and timely with appropriate timely escalation; this will include liaison with model owners and model validation teams
- provide input into market conduct product management related matters globally - this includes participation on risk assessments, management forums and ad-hoc with market conduct taxonomy owners;
- collaborate with the product owner, business aligned compliance teams, regional trade surveillance, models, Compliance IT, front office IT and surveillance vendors;
- represent market conduct surveillance to internal management, internal and external audit inspections as well as with regulators;
- drive a culture of team personal development and opportunities to ensure a highly engaged and motivated team;
- prioritise and implement trade surveillance development adopting agile processes;

**Your Career Comeback**

**Your team**
- You will be a Manager within Monitoring, Surveillance & Controls (MS&C), reporting to our global head of MS&C and be responsible for market conduct execution surveillance, based in London. You will be providing leadership to teams based in the UK, EMEA, Switzerland, Poland, Singapore, Pune, Hong Kong, Tokyo, the tri-States and Nashville.
- 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**
- ideally 10+ years of relevant financial industry or leadership experience, ideally in designing and running market abuse / conduct surveillance product management programs
- ability to manage vendor and IT relationships crucial to successful surveillance programs
- a university degree or above
- proven team management skills and proficiency in stakeholder management, including liaising with regulators
- strong leadership skills, with the ability to manage both local and remote employees
- excellent communication and interpersonal skills
- hands-on experience in monitoring, surveillance alert handling and controls execution would be a plus

**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,

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