Junior Trade Surveillance Compliance Specialist
Job Reference #
Do you have a passion for financial markets and a keen analytical mind? We are looking for someone like that to:
• perform day to day automated surveillance of cash equity, ETD and other trading activity using industry leading surveillance tools
• analyze alerts thoroughly and close out in a timely manner to ensure that issues are identified, investigated and escalated where necessary
• integrate multisource information to a structured and comprehensive analysis of issues which will stand up to regulatory filling
• challenge alert design and effectiveness by contributing to periodic reviews to maintain an accurate and effective program
• collaborate to build a close relationship with relevant stakeholders that include Surveillance & Monitoring, Business Aligned Compliance and Regulatory Inquiries teams
• stay informed of market news, trends and regulatory updates and developments
You’ll be working in Trade Surveillance team in Zabierzow near Krakow. Our team monitors automated alerts generated against orders and trades to identify potential instances of market abuse (insider dealing, market manipulation). 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.
• Bachelor or Master degree, preferably finance related
• understanding of securities markets microstructure and main trading mechanisms
• understanding of the regulatory environment, particularly related to market abuse
• excellent written and spoken English
• very good communication skills
• strong attention to detail
• proven experience ideally in a Trade Monitoring/Surveillance team, or control function (e.g. Middle Office / Finance) will be an asset
• proficient with Microsoft Office programme (particularly Excel) will be an asset
• analytical, with a knack for analyzing intraday stock and market patterns
• team oriented, while able to complete tasks independently
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.