Client Associate
at UBS
Posted 6 hours ago
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- Compensation
- Not specified
- City
- Country
- China
Currency: Not specified
**Client Associate - Senior Market Conduct Surveillance Analyst** (APAC) - **Senior** role requiring **deep experience** in Market Conduct surveillance - **Independently** analyze **large datasets** and **unusual trading activities** using **advanced analytics** tools - **Thoroughly understand** and **interpret** markets' regulations, (e.g., **Securities and Futures Ordinance**, Hong Kong) - **Expertly navigate** cash equities, related IB products, and **end-to-end trade lifecycle** - **Perform end-to-end trade surveillance** across diverse Investment Bank businesses; **interpret surveillance alerts** and **form well-reasoned conclusions** - **Collaborate** with stakeholders, exercising **independent judgment** in **risk assessments** and providing **defensible outcomes**
| Are you familiar with Market Conduct? 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? We are seeking a senior Market Conduct Surveillance Analyst with deep practitioner experience, capable of operating with a high degree of independence while remaining fully embedded within an integrated regional surveillance framework. In this role, you will: Perform end‑to‑end trade surveillance activities across the Investment Bank (IB) businesses across APAC. • Independently analyze alerts, exceptions and instances of potentially unusual or suspicious trading activity generated by surveillance systems, forming well‑reasoned conclusions. • Apply deep, practical knowledge of local securities regulations with a focus on the Hong Kong market (i.e. Securities and Futures Ordinance) • Leverage a strong understanding of cash equities and related IB products, execution processes, trading strategies and the end‑to‑end trade lifecycle to support robust and defensible investigations. • Support the Team Lead as the surveillance authority for HK‑local activity, exercising a high degree of independent analysis, judgment and decision‑making in risk assessments and outcomes. • Engage directly with front‑office businesses, control functions and regional partners on escalations, inquiries and remediation actions, challenging where appropriate. • Represent surveillance function in interactions with exchange surveillance teams and regulators, including responding to inquiries and managing follow‑ups as required. • Collaborate closely with colleagues as part of an integrated APAC Market Conduct Surveillance team, actively participating in regional training and knowledge sharing initiatives to promote cross market consistency. • Drive continuous process improvements and contribute to strategic initiatives, automation and optimization projects within the function. • Build and maintain effective working relationships with senior management and key stakeholders across the first and second lines of defense across the region, establishing credibility as a trusted subject‑matter expert. | Show more Market Conduct Surveillance Analyst |
