Equities Regulatory Analyst – Electronic Trading / Market Access

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • UBS
  • 19 Oct 18

Equities Regulatory Analyst – Electronic Trading / Market Access



Your role
Do you have experience with electronic trading, market structure, and execution controls? Can you drive a program with a wide range of stakeholders while conducting detailed analysis and oversight of controls? We're looking for someone like that who can:
• Provide market access and execution controls subject matter expertise and risk oversight
• Coordinate and present at supervisory and governance forums/committees
• Perform certain delegated supervisory reviews related to Market Access
• Drive the timely completion of the annual 15c3-5 certification
• Produce monthly summary statistics focused on the effectiveness of controls to senior management
• Conduct ad hoc analysis and oversight of limit effectiveness and calibration
• Perform real-time monitoring of warnings, alerts and alarms associated with certain market access controls
• Assist in the development and/or modification of controls, processes and procedures for the Equities business
• Assist in the investigation and response to regulatory inquiries and exams

Your team
You'll be working in the Equities Regulatory Risk Management team. We are an Equities Front Office function focused on ensuring necessary processes exist to support compliance with relevant securities laws, rules, regulations, and internal policies. We work with a number of internal areas, including Equities Sales and Trading, COO, Operations, Compliance & Operational Risk Control, and IT.

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.

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 more than 50 countries. Do you want to be one of us?