Hong Kong SAR
Full Time
Hong Kong SAR
Compliance
At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
UBS Business Solutions SA
UBS Recruiting
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 will be part of the APAC Market Conduct Surveillance team functionally, a second‑line function within Group Compliance and Operational Risk Control, supporting the firm in achieving its strategic, operational and regulatory objectives.
The role is based in Hong Kong and will have responsibility in handling regulatory matters (e.g. interaction with regulators, regulatory report filing), but the surveillance coverage will be on all APAC markets. In addition to day‑to‑day surveillance coverage, as the senior analyst, the role will play a key part in the wider MCS process improvement and strategic initiatives.
While operating with a high degree of independence in line with local regulatory requirements, the role is fully integrated within the broader APAC regional framework, providing exposure to regional governance, escalation practices and cross‑market regulatory expectations.
• Proven hands‑on experience in market conduct and/or trade surveillance within a financial institution or securities regulator.
• Strong hands‑on experience with automated trade surveillance systems, including scenario design and system configuration, with the ability to independently review, assess and dispose of alerts and to propose enhancements to surveillance coverage where appropriate.
• Strong knowledge of the general securities market regulations, particularly with the Hong Kong regulatory environment, and proven ability to interpret and apply the regulations to the day-to-day surveillance tasks as well as strategic initiatives.
• Demonstrated experience independently handling exchange‑driven surveillance inquiries and regulatory referrals from the SFC and HKEX, including analysis, response formulation and follow‑up.
• Solid understanding of execution processes for cash equities and related instruments, including order handling, execution workflows and post‑trade processes.
• Strong understanding of trading strategies, market behavior and the end‑to‑end trade lifecycle, enabling meaningful and well‑reasoned analysis of suspicious or unusual trading activity.
• Strong analytical mindset, with the ability to investigate issues in depth, identify root causes and reach sound, defensible conclusions.
• Excellent organizational, time‑management, documentation and problem‑solving skills, with a high level of attention to detail.
• Commitment to staying current on regulatory developments, internal policy changes and evolving market practices.
• Demonstrates people-management skills, ability to communicate clearly, confidently and credibly with a broad range of stakeholders, including senior business and compliance stakeholders and regional partners.
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers
From gaining new experiences in different roles to acquiring fresh knowledge and skills – at UBS we believe that you should never stop growing and learning because life never stops teaching. We know that it's our people – with their unique backgrounds, skills, experience levels and interests – who drive our ongoing success. Ready to be part of #teamUBS and make an impact? Find out more at ubs.com/careers.
UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland*. In June 2023, Credit Suisse became a UBS Group company.
With our large and diverse team operating internationally, we have a presence in all major financial centers in more than 50 countries. Although we all come from different backgrounds and specializations, two things unite us: the conviction that we’re stronger together, and the will and curiosity to constantly innovate. That’s the key to us unlocking our full potential (and what we look for in everyone who joins us). It’s also why we’re regularly recognized as an attractive employer.*
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