Senior Trade Surveillance Analyst

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 Mumbai 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 global mandate.

Your expertise

Let’s talk if…

You have:
• 10+ 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.