UBS Financial Services Equities Regulatory Analyst – Electronic Trading / Market Access in New York, New York
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
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.
Disclaimer / Policy Statements:
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
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.
• 6+ years of experience in Electronic Trading, Information Technology, Compliance, or Risk Control
• Knowledge of equities products and markets with a focus on trading systems, trade flows and execution controls
• The ability to prioritize and work effectively in a rapidly changing environment with the ability to proactively anticipate, identify, prevent and resolve problems
• Strong Excel as well as analytical and problem-solving skills across large data sets
• A risk and control mind set, with solid communication skills, drive and commitment
• Appropriate qualifications (series 7, 57, 24) or are willing to acquire
• Extremely driven with a strong desire to deliver results despite challenges and constraints.
• Reliable when working independently, with sound judgment for when to escalate issues
• Able to apply a technical understanding to data in order solve for complex problems.
• Quickly adaptable to changing market situations, technology and business needs (you’re smart and flexible)
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?
Job Reference #: 182401BR
Business Divisions: Investment Bank
Title: Equities Regulatory Analyst – Electronic Trading / Market Access
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Equities, Investment Banking, Product Management and Development, Risk, Sales and trading