【UBS】Market Conduct Surveillance Analyst
仕事内容
Your role
Do you have sharp analytic skills? Are you a stickler for getting things right?
We are looking for a Trade Surveillance Analyst to:
• handle day to day operation of the SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions
• investigate and close out monitoring alerts thoroughly in a timely manner
• ensure significant issues identified are fully investigated and promptly escalated where necessary
• handle inquiries and requests from Japan local regulator
• drive continuous improvement of the surveillance framework including refinement and recalibration
• contribute to and implementing strategic department projects including global and regional initiatives
• participate in implementation activities including testing and business integration
• assist to produce effective management information reports for Senior Management
This role is possible for hybrid work after probation period
Your team
The team uses SMARTS, Actimize and other monitoring tool to identify instances of potential market abuse. This is supported by manual and desk based routines. The team collaborates with many internal and external parties such as the business, regulatory investigations to raise escalations and surveillance vendors to enhance monitoring and expand into new product classes and markets. The team stays up to date with relevant regulatory requirements and financial market news which influence surveillance activity and development. As a trade surveillance specialist you'll play an important role in seeing that market abuse and misuse of sensitive UBS or client's information is prevented and that internal policies are complied with safeguarding UBS's reputation against legal and regulatory risks.
応募資格(必須経験など)
Your expertise
• ideally 3-5 years of relevant work experience either within Compliance or a Regulatory Authority
• qualification of JSDA Sales Representative and Internal Control Manager
• bachelor or master degree, preferably finance related
• excellent written and spoken English and Japanese
• the ability to identify suspicious trade patterns
• the confidence to question current state behavior
• able to articulate findings and to document such effectively
• technically proficient, skilled in working with Excel
• ideally with technical competencies such as the ability to use Analytics
• able to prioritize conflicting tasks, identifying what is essential and focusing on such
• thorough record-keeping abilities and attention to details