Monitoring, Surveillance and Controls Analyst

1 week ago

Melbourne, Victoria, Australia UBS Full time
Monitoring, Surveillance and Controls Analyst

Your role
Do you like financial markets? 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? Are you a sharp evaluator of risk?

We are looking for a surveillance analyst who can:

  • perform trade surveillance activities across Investment Bank (IB) & Global Wealth Management (GWM) divisions.
- analyse exceptions and instances of potentially suspicious activities flagged by our systems.
- engage with business stakeholders on escalations and other matters.
- drive continuous process improvements and contribute to strategic department projects and automation/optimisation initiatives.
- work as a team member on controls reviews and testing of UBS GWM, including thematic and front-to-back.
- analyse and assess risks arising from both the business and support functions.
- identify and evaluate the design, implementation and effectiveness of controls designed to address those risks
- document and communicate review findings, root causes and risks, and prepare reports of reviews for UBS senior management.
- develop recommendations for items that solution owners should consider when finalising their action plans.
- review remediation actions submitted by the business for closure to assess whether these have addressed the original risks.
- successfully collaborate with peers in and across Monitoring, Surveillance and Control teams, in Australia and abroad.
- develop and maintain relationships with senior management.

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working.

Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.


From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone.

We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success.

Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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.


Your team
You will be working in Monitoring, Surveillance and Controls (MS&C) in Melbourne, Australia.

MS&C is an independent function within the 2nd line of defense, that supports Group Compliance, Regulatory and Governance (GCRG) in achieving its strategic, operational, financial and compliance objectives.

We do this by assessing key processes as well as governance, risk management, and the control environment within the key business divisions of the APAC region.

We are a talent powerhouse that attracts and develops the best people by driving career growth in and outside the department.

Our team is mainly responsible for reviewing compliance controls specific to financial crime, investment suitability, cross border and execution related conflicts of interests.

In addition, we ensure UBS continues to meet regulatory obligations when it comes to identifying and reporting to the relevant authorities, instances of market abuse and other forms of misconduct.

In your role, you will have the opportunity to have exposure to our GWM compliance controls function, in addition to our IB and GWM trade surveillance functions.


Your expertise

  • Experience in trade/market surveillance, or audit or compliance controls testing within the financial industry or at a Regulator, ideal but not a necessity.
  • Knowledge of financial markets, products and trade lifecycle.
  • A curiosity and ability to 'dig deep' in order to identify suspicious trading patterns, investigate and draw meaningful conclusions.
  • Knowledge of antimoney laundering and know your client requirements for high net worth clients.
  • You are able to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures.
  • Excellent organisational, time management and problem solving skills.
  • Willingness to keep up with industry, regulatory developments and learn new concepts and methods.
  • Ability to effectively communicate with senior stakeholders.
  • Recent graduates with Economics, Finance or Commerce degrees will be considered.
- #LI-Hybrid

About us
UBS is the world's largest and only truly global wealth manager.

We operate through four business divisions:
Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial c

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