Trade Risk & Compliance Analyst

UBS; Nashville (TN); On-site; USD 70,000 - 93,000; Full time

Job summary

UBS in Nashville, TN is seeking a supervisory risk control specialist to lead centralized reviews of incoming trades, ensuring accuracy and proper approvals for high-risk activities. You will act as a first-line-of-defense expert, assess trade risk and enforce regulatory trading rules while partnering with field teams to protect client interests.

Ideal candidates have 3+ years in financial risk management, hold FINRA licenses (7,66,9/10) and are analytical, calm under pressure, and curious about

Qualifications

• 3+ years of experience within the financial industry in 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.
• Analytical mindset with ability to provide practical risk-mitigating solutions.
• Calm under pressure with strong communication and accountability.

Responsibilities

• Act as a supervisory risk control SME for a centralized group reviewing trades for accuracy.
• Perform first-line-of-defense reviews to prevent errors and ensure proper documents and approvals for high-risk trades.
• Assess trade risk quickly via account types, trading restrictions, and risk controls.
• Ensure compliance with regulatory trading rules and operational requirements for complex situations.
• Build and maintain relationships with field partners to provide timely reviews while prioritizing client interests.

Skills

Risk management

Operations

Trading

Compliance supervision

FINRA licenses 7/66/9/10

Analytical skills

Communication under pressure

Curious about AI in workflows

Job description

UBS in Nashville, TN is seeking a supervisory risk control specialist to lead centralized reviews of incoming trades, ensuring accuracy and proper approvals for high-risk activities. You will act as a first-line-of-defense expert, assess trade risk and enforce regulatory trading rules while partnering with field teams to protect client interests.

Ideal candidates have 3+ years in financial risk management, hold FINRA licenses (7,66,9/10) and are analytical, calm under pressure, and curious about