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Trade Surveillance Team Lead

6.00 to 9.00 Years   Pune   06 Dec, 2022
UBS Securities India Private Limited
Job LocationPune
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

    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.Your teamOur Teams 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., 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.#LI-SS1

Keyskills :
music makingmarket conductfinancial marketsknowledge sharinginternational worktrading strategiescontinuous process

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