at UBS
Bulge Bracket Investment BanksPosted a month ago
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**Strategy & Operations Manager - Asset Management COO**: Lead independent trade surveillance, data analysis, and regulatory compliance (Securities and Futures Ordinance) for APAC's Investment Bank. Evaluate unusual trading activity, challenge front-office businesses, and engage regulators. Proficient in cash equities, trading strategies, and process improvements, with proven senior-level experience in market conduct surveillance.
- Compensation
- Not specified
- City
- Hong Kong
- Country
- Hong Kong
Currency: Not specified
Full Job Description
| 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 endtoend 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 wellreasoned 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 endtoend trade lifecycle to support robust and defensible investigations. Support the Team Lead as the surveillance authority for HKlocal activity, exercising a high degree of independent analysis, judgment and decisionmaking in risk assessments and outcomes. Engage directly with frontoffice 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 followups 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 subjectmatter expert. | Show more Market Conduct Surveillance Analyst |
