Trade Risk & Compliance 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

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.