Trade Approval Analyst

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

Benefits offered by this job

Competitive benefits

Flexible working options

Opportunities for growth

Job summary

UBS is seeking a Risk Control Expert in Raleigh, North Carolina to join their centralized team. The ideal candidate will possess 3+ years of experience in risk management or operations within the financial industry, with strong communication and analytical skills.

In this full-time role, you will provide critical reviews of incoming trades, ensuring compliance with regulatory standards and managing risks effectively. Join UBS and be part of a collaborative team focused on delivering top-notch Wealth Management services.

Qualifications

• 3+ years of experience in risk management, operations, trading, or compliance.
• Calm under pressure with excellent communication skills.
• Experience in regulatory trading rules.

Responsibilities

• Act as a risk control subject-matter expert for trade reviews.
• Prevent financial and operational risks by reviewing trades.
• Build relationships with partners for timely reviews.

Skills

Risk management

Operations

Trading

Compliance

Analytical solutions

Communication

Education

FINRA Series 7, 66, 9 & 10 (or equivalent)

FINRA Series 3 and Life Insurance and Variable Annuities preferred

Job description

Your role

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

We are looking for someone like that who can:

• 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 #

337215BR

City

Nashville, Raleigh, Weehawken

Your 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 expertise

• 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.

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. Visit ubs.com/careers.

Salary information

The indicative gross base salary range as a full-time equivalent role:

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

UBS offers a range of competitive benefits. We may 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. We also 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.

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.