Deputy Head of IB and EMEA Market Conduct Taxonomy

Are you passionate about market conduct and regulatory risk? Do you enjoy understanding how complex businesses operate and where risks can emerge? Do you thrive on leading teams and engaging senior stakeholders, regulators and peers across the industry? We're looking for a Deputy Head of IB and EMEA Market Conduct Taxonomy for a team responsible for the execution of market conduct surveillance activities in EMEA and across IB. The role will report to the Head of IB and EMEA Market Conduct Taxonomy.

• 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.
• lead complex market conduct and market abuse investigations arising from business, compliance, regulatory, or surveillance escalations.
• support managing and developing global surveillance teams across the UK, EMEA, and India, ensuring consistent standards, governance, workload prioritization, and operational excellence.
• identify, assess, and monitor conduct and market abuse risks, providing independent challenge on trading behaviors and employee conduct.
• partner with technology, engineering, and optimization 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.
• ensure compliance with MAR, FCA, MiFID II, EMIR, and other applicable regulations while driving continuous improvement, best practices, and strategic evolution of the surveillance function.
The team You will work to support the IB/EMEA Taxonomy lead and dedicated team of three Product / Country Leads, working closely with colleagues across the Market Conduct Taxonomy, Group Compliance and Operational Risk Control. You will be part of a global function, with access to the Market Conduct Academy, and play a key role in ensuring market conduct risk is clearly understood, owned and managed by the firm.


• 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.
  
  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.