UK Trade Surveillance Lead London, England
UBS
Full Time
London, England
10.56 - 12.04 GBP Today
Job description
United Kingdom
Compliance
Group Functions
Job Reference #
275414BR
City
London
Job Type
Full Time
Your role
Do you have a passion for financial markets and an analytical mind? Do you know how to maintain independence and objectivity? Is trade surveillance the area that interests you in which you wish to progress your career?
We are looking for someone like you to:
We are looking for someone like you to:
- lead the UK/EMEA Equities and ETD trade surveillance team – leading the strategy and execution of market abuse monitoring across UK/ EMEA
- deep dive into SMARTS and ACTIMIZE monitoring across Cash Equities and Exchange Traded Derivatives – considering the quality of alerting logic and how to improve output and efficiency in monitoring – continuously look to improve the efficacy of controls
- work with and as key support to the Global Head of Market conduct surveillance in terms of delivering a forward looking and risk based surveillance programme considering the nature and scope of UBS business (whether agency, principal, e, algo or voice based)
- ensure consistency across regions and asset class coverage – from both an alerting, process and documentation perspective
- deliver independent risk assessment on surveillance coverage for UK/EMEA and provide comprehensive reports to highlight gaps in risk and drive implementation of fixes to address these gaps
- ensure that programme cover MiFID 2 requirements and evolves to capture focus areas from UK/EMEA regulators, eg. FCA Marketwatch, peer group feedback, etc
- prepare reports on issues or articulate coverage which will stand up to scrutiny by internal management, GIA and the regulator
- present findings at team meetings, Working Groups, and to Business and Compliance management
- collaborate with the Information Technology team, Front Office stakeholders and Front Office IT
Your team
You will be working in the Global Market Conduct Surveillance Team in London as the Team Lead for the UK/EMEA cash equities/ETD team, based in London and Krakow. We provide an effective and comprehensive monitoring and surveillance capability to identify and report suspicious transactions where there are reasonable grounds to suspect they might constitute market abuse, such as insider dealing or market manipulation.
Your expertise
- ideally at least 5 years in the compliance or regulatory world or other related experience such as operational risk, risk management, audit, examination, or similar control-related experience
- experience of running teams in the market conduct/abuse space
- a deep understanding of financial markets products, with front office experience an advantage
- knowledge of vendor Market Abuse monitoring solutions – including SMARTS, ACTIMIZE
- some project management experience around complex projects and deliveries an advantage
- a strong communicator, as well have having excellent interpersonal, presentational skills coupled with effective problem solving, conceptual thinking, quantitative and analytical skills
- technologically literate and an ability to communicate with IT partners
- result-oriented and assertive (you don’t shy away from challenging situations)
- inquisitive attitude and zeal for knowledge
- awareness of data quality and integrity issues
#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?
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.
