Job description
United States
Compliance
Group Functions
Job Reference #
275943BR
City
Weehawken
Job Type
Full Time
Your role
Do you have a passion for financial markets and a keen understanding of the market abuse risks inherent in trading products across markets, exchanges, and trading venues? Can you assist with assessing these risks to further enhance to the firm’s market conduct risk control framework and associated Monitoring, Surveillance & Controls Market Conduct Surveillance controls and governance? We are looking for someone like that who can:
– Assess Market Conduct Policy requirements and associated risks, define Monitoring, Surveillance & Controls Framework, governance and detailed control requirements
– Deliver independent risk assessment and reports that shed light on our risk profile
– Provide business management with controls, tools, training, frameworks , information and insights required to manage risk
– Assist with Annual Product Framework Review and Dynamic Risk Assessment process and interpretation of Market Conduct Taxonomy risk
– Work in collaboration with framework owner and Global Market Conduct Surveillance Execution Lead to deliver detailed requirements and design solution based on risks assessment
– Assist to manage expectations of stakeholders around transactional surveillance and MAR compliance
– Assess Market Conduct Policy requirements and associated risks, define Monitoring, Surveillance & Controls Framework, governance and detailed control requirements
– Deliver independent risk assessment and reports that shed light on our risk profile
– Provide business management with controls, tools, training, frameworks , information and insights required to manage risk
– Assist with Annual Product Framework Review and Dynamic Risk Assessment process and interpretation of Market Conduct Taxonomy risk
– Work in collaboration with framework owner and Global Market Conduct Surveillance Execution Lead to deliver detailed requirements and design solution based on risks assessment
– Assist to manage expectations of stakeholders around transactional surveillance and MAR compliance
Your team
You’ll be working in the Monitoring Surveillance & Controls Market Conduct Surveillance Product Management team. 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
You have:
– 2-3 years’ experience of Market Abuse regulation (FINRA, MAR, MiFID II, US and APAC regulatory scope) and market abuse behaviors across all products (e.g., equities, equity traded derivatives, fixed income, foreign exchange, precious metals, and rates and credit)
– Strong problem solving skills with an analytical and curious mind set fit for data analysis with an awareness of data quality and integrity issues
– Compliance or regulatory experience or other related experience such as operational risk, risk management, audit, examination, or similar control-related experience
You are:
– technologically literate with an ability to communicate with procurement, IT and vendors
– result-oriented and assertive (you don’t shy away from challenging situations)
– a strong communicator, as well have having excellent interpersonal, presentational and leadership skills across all levels coupled with effective problem solving, conceptual thinking, quantitative and analytical skills
– 2-3 years’ experience of Market Abuse regulation (FINRA, MAR, MiFID II, US and APAC regulatory scope) and market abuse behaviors across all products (e.g., equities, equity traded derivatives, fixed income, foreign exchange, precious metals, and rates and credit)
– Strong problem solving skills with an analytical and curious mind set fit for data analysis with an awareness of data quality and integrity issues
– Compliance or regulatory experience or other related experience such as operational risk, risk management, audit, examination, or similar control-related experience
You are:
– technologically literate with an ability to communicate with procurement, IT and vendors
– result-oriented and assertive (you don’t shy away from challenging situations)
– a strong communicator, as well have having excellent interpersonal, presentational and leadership skills across all levels coupled with effective problem solving, conceptual thinking, quantitative and analytical skills
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.
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