Trade Surveillance Analyst

India

Compliance, Risk

Group Functions

Job Reference #

BR

City

Mumbai, Pune

Job Type

Full Time

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 Senior Trade Surveillance Analyst in an individual contributor role with experience in the following:

• Performing automated and manual market conduct surveillance activities across Investment Bank and 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

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 Market Conduct Surveillance Team in Pune 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

Let's talk if…

You have:

• 5+ years of relevant work experience in the Trade Surveillance domain (banking, broker and/or exchange-side).
• Ample knowledge of Investment Banking and Wealth Management businesses, financial markets, products and trade lifecycle with a particular focus on equities and ETDs.
• 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:

• Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
• Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
• Proficient in using SMARTS calibration module, including reviewing and challenging the existing parameters and thresholds to ensure they remain fit for purpose.
• Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.

About us

UBS is the world's largest and the 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..

We have a presence in all major financial centers in more than 50 countries.

How we hire

We may request you to complete one or more assessments during the application process. Learn more

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.