Asset Management Compliance Monitoring Trade Surveillance Analyst London, England
UBS
Full Time
London, England
44606 - 79181 GBP ANNUAL Today
Job description
United Kingdom
Compliance
Group Functions
Job Reference #
268748BR
City
London
Job Type
Full Time
Your role
Do you have an interest in financial markets, how they operate and how they can be exploited? Do you know how to maintain independence and objectivity?
We are looking for someone like you to be a part of our Asset Management Trade Surveillance Team. You will be responsible for:
We are looking for someone like you to be a part of our Asset Management Trade Surveillance Team. You will be responsible for:
- performing day to day automated surveillance of cash equity, fixed income and other trading activity using the industry leading surveillance tool Trading Hub’s MAST.
- analysing alerts thoroughly and closing out in a timely manner to ensure that issues are identified, investigated and escalated where necessary
- challenging alert and test design and effectiveness, and pro actively taking actions to enhance the program;
- performing non-automated trade surveillance and other second line of defense monitoring, to assess controls and provide assurance that controls are operating effectively, issues are identified, investigated, remediation agreed and escalated to senior management where necessary.
- supporting Trade Surveillance activities carried out by the wider team covering the Wealth Management and Investment Bank divisions
- collaborating regularly with other Group Compliance, Regulatory & Governance (GCRG) areas, including Business Aligned Compliance, Regulatory Investigations and other areas as required
- manage relationships with stakeholders
- staying informed of market news, trends and regulatory updates and developments;
Your team
You’ll be working in the Asset Management Trade Surveillance Team which is a part of the UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of the Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of Asset Management business activity to ensure adherence to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks. The team has close and continuous collaboration with the AM business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
Your expertise
- ideally 2- 5 years relevant experience in asset management, trade surveillance and other compliance monitoring, including Best Execution
- working knowledge of the AM business, processes and risks, both traditional and alternative asset classes
- an understanding of the regulatory environment and expectations.
- ability to communicate at provide challenge at all levels throughout the Company and the confidence to deal with external bodies (clients, regulators & auditors) and to prioritize work
- analytical skills, with attention to detail and the ability to provide practical and realistic solutions for minimizing risk
- highly motivated team player who is also able to work independently and capable of leading by example .
#LI-Hybrid
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?
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?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
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?
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.
