Compliance Specialist - Trade Surveillance

  • Competitive
  • Sydney, New South Wales, Australia
  • Permanent, Full time
  • UBS AG
  • 18 Oct 17


Job Type
Full Time

Your role
Are you a motivated self starter? Do you have a keen eye for the finer details? We're looking for someone like this to:

• support both the Regional Monitoring, Surveillance and Controls (MS&C) team based in Singapore and Product Aligned Compliance team based in Australia and New Zealand,
• execute controls and monitoring tasks in accordance with MS&C taxonomy and local controls for the Australia and New Zealand market,
• develop, enhance and maintain the Australia and New Zealand related MS&C framework, monitoring program, escalation and reporting processes as well as the relevant procedures and practices at the local level,
• day to day operation of the SMARTS monitoring tool and analysis of triggered alerts related to the assigned markets,
• investigate and close out monitoring alerts thoroughly in a timely manner for the assigned markets, and ensure significant issues identified are fully investigated and promptly escalated where necessary,
• drive continuous improvement of the surveillance framework including refinement and recalibration for the assigned markets,
• contribute to the implementation of strategic department projects and testing including global and regional initiatives,
• contribute to regular review of MS&C related risks assessments, patterns and trends analysis.
• assist in the production of effective management information reports for senior management and local business stakeholders,
• conduct training on trade surveillance activities to the wider team - performing quality assurance checks / peer review on the junior analysts/ team members,
• key contact for local business stakeholder, Product Aligned Compliance and providing MS&C support in responding to regulatory enquiries or investigations.

About us
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?

Your team
You will be working in the Compliance & Operational Risk Control – Monitoring, Surveillance & Controls team. Monitoring Surveillance & Controls (MS&C) part of Compliance & Operational Risk Control (C&ORC), monitors business activities in relation to compliance with all applicable laws, regulations and policies including Cross Border Activities, Investment Suitability, US Persons compliance, Conflicts of Interest, amongst others.

As the Monitoring & Surveillance Officer at UBS, you will be based in Sydney, Australia and execute 2nd Line of Defense through its automated monitoring facilities. The SMARTS Trade Surveillance is part of that and will now be further extended in line with the Bank's strategic centralization objectives as well as providing the necessary support to the Product Aligned Compliance team within C&ORC Australia and New Zealand.

Your experience and skills
You have:
- ideally around 4 to 7 years of relevant work experience either within Compliance or a Regulatory Authority,
- in depth Equities and related Derivatives product knowledge as well as Fixed Income, Rates and Credit
- the ability to identify suspicious trade patterns,
- fluency in English as well as knowledge of other languages will be beneficial.

You are:
- able to prioritize conflicting tasks, identifying what is essential and focusing on such,
- a proactive self-starter who is able to work independently,
- confident and comfortable to question current state behavior.


What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Take the next step
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.