Senior Market Conduct Surveillance Analyst (APAC)

UBS

Hong Kong

On-site

HKD 900,000 - 1,500,000

Full time

14 days+

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Job summary

UBS is seeking a Senior Market Conduct Surveillance Analyst in Hong Kong to lead end-to-end surveillance across APAC (Investment Bank). You will independently analyze alerts and unusual trading activity, applying deep knowledge of Hong Kong securities regulation and execution processes.

You will engage with front office, control functions and regulators, contributing to regional initiatives and improvements.

Qualifications

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.
Deep knowledge of local securities regulations, especially HK regulations (SFO).
Experience handling exchange-driven surveillance inquiries and regulatory referrals (SFC/HKEX).
Solid understanding of cash equities, execution processes and trade lifecycle.

Responsibilities

Perform end‑to‑end trade surveillance across APAC IB businesses.
Analyze alerts, exceptions and suspicious trading activity with independent conclusions.
Apply HK regulatory knowledge to daily surveillance tasks and strategic initiatives.
Support surveillance leadership with independent analysis and risk assessments.
Engage with front‑office, control functions and regional partners on escalations.
Represent surveillance in interactions with regulators and exchange teams.
Collaborate within APAC Market Conduct Surveillance for training and knowledge sharing.
Drive process improvements and contribute to automation and optimization projects.