Employee, Regulatory Surveillance Business Analyst

Your role

UBS SECURITIES LLC is seeking an Employee, Regulatory Surveillance Business Analyst in New York, NY.

Are you an innovative thinker? Are you focused on the details, even when under pressure? Do you enjoy delivering enhanced change capabilities across a range of business functions?

We're looking for an Employee, Regulatory Surveillance Business Analyst to:

Develop and implement regulatory equities surveillance and supervisory controls.
Conduct extensive data analysis using data science applications to identify trends and anomalies that may impact compliance with SEC and FINRA rules and regulations.
Communicate complex data models, analysis, and recommendations in a clear and precise manner.
Coordinate with Information Technology on the design and testing of controls.
Perform transaction surveillance, including reviewing exception-based surveillance controls for FINRA and SEC rules and regulations.
Can work hybrid (In-office/remote).

Qualified Applicants apply through Please reference 001902. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI

Salary & Work Schedule: $125,000 to $130,000 Per Year, 40 hrs/wk. The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

This notice is being posted in connection with an application for permanent Alien Labor Certification. Any person may comment or provide documentary evidence bearing on this application to: U.S. Department of Labor, Employment and Training Administration, Office of Foreign Labor Certification, 200 Constitution Avenue NW, Room N-5311, Washington, DC 20210.

*LI-DNI

Your team

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

You'll be working in the Global Markets team in New York, NY.

Your expertise

Education & Experience Requirement

This position requires a Master's degree or foreign equivalent in Finance, Global Finance, Information Systems, or related field of study plus one (1) year of experience in the job offered or as a Data Specialist, Consultant, Analyst, Research Associate or related occupation.

Alternate Education & Experience Requirement

The employer will alternatively accept a Bachelor's degree or foreign equivalent in Finance, Global Finance, Information Systems, or related field of study plus three (3) years of experience in the job offered or as a Data Specialist, Consultant, Analyst, Research Associate, or related occupation in lieu of a Master's degree and one (1) year of experience.

Position requires experience with the following:

building exception based trade surveillance controls using advanced data analytics tools
Databricks; Alteryx; Financial and Regulatory markets; analyzing data trends
capturing and documenting business requirements for new surveillance controls
automating manual processes; end-to-end product ownership
designing, developing, and modelling complex controls; documenting and presenting control logic and intended outcomes

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. Want to find out more? Visit ubs.com/careers.

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 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.