Market Conduct Surveillance Analyst
- Recruiter
- UBS
- Location
- Nashville, United States - Tennessee
- Salary
- Competitive salary
- Posted
- 25 Jun 2022
- Closes
- 22 Jul 2022
- Ref
- 249591BR
- Approved employers
- Approved employer
- Job role
- Accountant
- Sector
- Accounting - Public practice
Your role
Are you someone who likes to do the right thing? Are you risk averse? Do you know how to maintain independence and objectivity?
We are looking for someone like that who can:
• act as a Compliance and Operational Risk Control ("CORC") Monitoring & Surveillance analyst to the IB and WMA, supporting them in managing regulatory risk
• perform second-line-of-defense controls in relation to consequential risks
• help to ensure risk frameworks are designed well and operating effectively
• assist in independent risk assessment and reports that shed light on our risk profile
• help to provide business management with controls, tools, training, frameworks, information and insights required to manage risk
Your team
You'll be working in the Market Conduct Surveillance team in Nashville, TN. We conduct surveillance of order and trade activities of the firm, our clients, and employees to identify potential violations of Federal Securities Laws (e.g., insider trading, price manipulation) and policy breaches (e.g., information barrier breaches). Through the use of vendor surveillance tools and automated exception reports, our team primarily researches alerts, makes inquiries with Business/Advisory/Technology areas, and escalates suspicious activities to Business Supervisors and Financial Crimes Investigations. Market Conduct Surveillance team members are located in metro New York and Nashville.
Your expertise
• a degree in Finance, Economics, Accounting, or Business Management (or related)
• 1+ years experience in surveillance, regulation, investigations, or compliance preferred
• broad knowledge of securities products and the markets
• analytical-minded, possessing the ability to use multiple data inputs to assess regulatory risk
• a team player, working with other analysts in identifying illegal or volatile market conduct
• result-oriented and assertive (you don't shy away from challenging situations)
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?
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?
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.
Are you someone who likes to do the right thing? Are you risk averse? Do you know how to maintain independence and objectivity?
We are looking for someone like that who can:
• act as a Compliance and Operational Risk Control ("CORC") Monitoring & Surveillance analyst to the IB and WMA, supporting them in managing regulatory risk
• perform second-line-of-defense controls in relation to consequential risks
• help to ensure risk frameworks are designed well and operating effectively
• assist in independent risk assessment and reports that shed light on our risk profile
• help to provide business management with controls, tools, training, frameworks, information and insights required to manage risk
Your team
You'll be working in the Market Conduct Surveillance team in Nashville, TN. We conduct surveillance of order and trade activities of the firm, our clients, and employees to identify potential violations of Federal Securities Laws (e.g., insider trading, price manipulation) and policy breaches (e.g., information barrier breaches). Through the use of vendor surveillance tools and automated exception reports, our team primarily researches alerts, makes inquiries with Business/Advisory/Technology areas, and escalates suspicious activities to Business Supervisors and Financial Crimes Investigations. Market Conduct Surveillance team members are located in metro New York and Nashville.
Your expertise
• a degree in Finance, Economics, Accounting, or Business Management (or related)
• 1+ years experience in surveillance, regulation, investigations, or compliance preferred
• broad knowledge of securities products and the markets
• analytical-minded, possessing the ability to use multiple data inputs to assess regulatory risk
• a team player, working with other analysts in identifying illegal or volatile market conduct
• result-oriented and assertive (you don't shy away from challenging situations)
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?
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?
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.