At a Glance
- Tasks: Lead market conduct surveillance and investigations across EMEA and Global Investment Banking.
- Company: UBS, a leading global wealth manager with a collaborative culture.
- Benefits: Flexible working options, opportunities for growth, and a supportive team environment.
- Other info: Join a diverse team committed to inclusion and continuous improvement.
- Why this job: Make a real impact in regulatory risk management while collaborating with industry leaders.
- Qualifications: Experience in regulatory compliance, strong analytical skills, and excellent communication abilities.
The predicted salary is between 63000 - 77000 £ per year.
Key responsibilities
- Leading end-to-end market conduct surveillance across EMEA and Global Investment Banking, ensuring timely alert review, investigation, escalation, and resolution.
- Acting as key FCA contact, with responsibility for STOR determinations, regulatory filings, cross-border referrals, and regulatory engagement.
- Leading complex market conduct and market abuse investigations arising from business, compliance, regulatory, or surveillance escalations.
- Supporting the management and development of global surveillance teams across the UK, EMEA, and India, ensuring consistent standards, governance, workload prioritization, and operational excellence.
- Identifying, assessing, and monitoring conduct and market abuse risks, providing independent challenge on trading behaviours and employee conduct.
- Partnering with technology, engineering, and optimisation teams to enhance surveillance models, detection capabilities, analytics, and platform effectiveness.
- Delivery of surveillance governance, management reporting, risk indicators, thematic analysis, and updates to senior management and governance committees.
- Ensuring compliance with MAR, FCA, MiFID II, EMIR, and other applicable regulations while driving continuous improvement, best practices, and strategic evolution of the surveillance function.
Your skills and experience
- A strong track record in a regulatory, compliance, risk management or control function, ideally within financial services.
- Deep understanding and SME experience in market abuse risk, with exposure to MARA type frameworks, surveillance and/or conduct risk assessments preferably having worked in a live trading environment.
- Experience leading or coordinating teams and influencing outcomes without direct ownership of risks.
- Demonstrated extensive experience engaging with regulators or supporting regulatory reviews and investigations.
- Strong analytical judgement, able to assess complex information and form clear, defensible conclusions.
- Excellent communication skills, with the ability to engage confidently with senior stakeholders and governance forums.
- Confidence to challenge constructively and drive accountability across the First and Second Lines of Defence.
About us
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.
Join us
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’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
Deputy Head of IB and EMEA Market Conduct Taxonomy employer: UBS
UBS is an exceptional employer, offering a dynamic work environment in London where collaboration and innovation thrive. As a CCP Risk Manager, you'll benefit from a culture that prioritises employee growth, providing opportunities to tackle complex challenges while utilising cutting-edge AI technologies. With a commitment to inclusivity and flexible working options, UBS ensures that every team member can contribute meaningfully to our collective success.
StudySmarter Expert Advice🤫
We think this is how you could land Deputy Head of IB and EMEA Market Conduct Taxonomy
✨Tap into Campus Networks
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We think you need these skills to ace Deputy Head of IB and EMEA Market Conduct Taxonomy
Some tips for your application 🫡
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Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to UBS.
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Research and Reflect:Before hitting that 'apply' button on UBS's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at UBS
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with UBS.
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✨Network with Industry Professionals
Before your interview, reach out to current or former UBS employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
