Trade Approval Analyst

UBS; Raleigh (NC); On-site; USD 70,000 - 93,000; Full time

Job summary

UBS in the United States seeks a supervisory risk control subject-matter expert to join a centralized team that reviews trades for accuracy and risk.

You will perform first-line-of-defense reviews, assess trade risk, and ensure proper documentation and approvals for higher-risk trades, while collaborating with field partners to protect client interests and uphold regulatory standards.

Qualifications

• 3+ years of experience in risk management, operations, trading or compliance/supervision.
• FINRA Series 7, 66, 9 & 10 licenses required.
• FINRA Series 3 and Life Insurance licenses preferred.
• Analytical mindset with ability to provide practical risk-reducing solutions.

Responsibilities

• Act as supervisory risk control expert for a centralized trade-review group.
• Perform first-line-of-defense reviews to prevent errors and ensure proper documents and approvals for high-risk trades.
• Assess trade risk with knowledge of account types, trading restrictions, and risk controls.
• Understand and apply regulatory trading rules and operational requirements for complex situations.
• Build and maintain relationships with field partners to deliver timely reviews while prioritizing client interests.

Skills

Risk management

Operations

Trading

Compliance/Supervision

Analytical thinking

Communication

Education

FINRA Series 7, 66, 9 & 10 licenses required

FINRA Series 3 and Life Insurance licenses preferred

Job description

Key Responsibilities

Do you thrive in fast-paced environment? Do you quickly prioritize tasks with an eye for detail?

• act as a supervisory risk control subject-matter expert for a centralized group that reviews incoming trades for accuracy
• perform first-line-of-defense activities by reviewing trades to help prevent errors, reduce financial and operational risk when entering trades, and to ensure proper documents and approvals are in place for higher risk trades.
• quickly and accurately assess trade risk with knowledge of account types, trading restrictions, and risk controls
• understands and is a subject matter expert in compliance with regulatory trading rules and operational requirements for complex situations
• build and maintain relationships with field partners to provide excellent and timely reviews while prioritizing client best interest

Job Type

Full Time

Job Reference #

342516BR

City

Nashville, Raleigh, Weehawken

The team

We are a collaborative central team supporting our Markets as they deliver world class Wealth Management services to our internal and external clients. Together we run a centrally focused team on mitigating risk, managing the business and supporting our associates and our community.

Your Skills And Experience

• ideally 3+ years of experience within the financial industry in the areas of risk management, operations, trading, or compliance/supervision
• FINRA Series 7, 66, 9& 10 (or equivalent) required
• FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred
• analytic, with the ability to provide practical solutions for minimizing risk
• calm under pressure with excellent communication skills and accountability
• You’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

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.

Salary information

• United States - New Jersey - Weehawken min USD 70000 - max USD 93000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.

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.

Disclaimer / Policy statements

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.