Job Description

Business Divisions

Group Functions

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 an individual with leadership qualities and a solid track record in:

• Managing compact teams (five people or more) of trade surveillance analyst / compliance professionals from day-to-day perspective.
• Performing automated market conduct surveillance activities across key APAC markets with a focus on equities and exchange traded derivatives.
• Analyzing exceptions and instances of potentially suspicious activities flagged by the surveillance systems.
• Engaging with senior business stakeholders on market conduct related findings and other matters.
• Driving continuous process improvements and contributing to strategic department projects and automation/optimization initiatives.

Function Category

Audit, Compliance, Risk, Trading

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?

Your team

Our Team's purpose is to ensure UBS continues to meet regulatory obligations when it comes to identifying and reporting to the relevant authorities, instances of market abuse and other forms of misconduct that adversely impacts financial markets.
As a member of Market Conduct Team in Pune, you will have an opportunity to:

• Lead a talented and energetic Team of trade surveillance practitioners;
• Learn about UBS and its clients' trading strategies and profiles;
• Understand the regulatory framework of the exchanges 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; and
• Work in a truly international Team with a regional mandate.

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity and inclusion. It strengthens our business and brings value to our clients.

Your expertise

• Ideally, 6-9 years of relevant work experience in Trade Surveillance/ Market Surveillance, Compliance or a Regulatory Authority domain (whether in-house or consulting).
• Ample knowledge of financial markets, products (EQ/ETD) and trade lifecycle.
• Hands on experience in effectively managing a team of direct reports.
• Innate curiosity and ability to 'dig deep' in order to identify suspicious trade patterns, investigate and draw meaningful conclusion.
• Confidence to question 'status quo' behaviour and challenge when responses are not satisfactory.

You are

• Proficient user of an automated surveillance system - preferably SMARTS, with in depth knowledge of market conduct rules and regulations.
• Committed to staying with the Team long enough to make a valuable contribution - preference will be given to candidates with a stable career progression over the frequent moves.
• Able to articulate and express your thoughts and ideas in a clear, convincing, and insightful manner.
• Proficient in other Asian languages in addition to English is a plus. International work experience is a plus.

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?