Trade Risk & Compliance Analyst

UBS; Weehawken (NJ); On-site; USD 70,000 - 93,000; Full time

Job summary

UBS is seeking a risk supervision professional to join our centralized team supporting Markets and Wealth Management in the United States. In a fast-paced environment, you will review incoming trades for accuracy and serve as a subject-matter expert on risk controls.

The role emphasizes first-line defense, regulatory trading rules, and collaboration with field partners to protect client interests while maintaining compliance and operational efficiency.

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.
• Analytic mindset with ability to provide practical risk-minimizing solutions.
• Calm under pressure with excellent communication and accountability.
• Curiosity to explore how AI can improve workflows while validating outputs against policies and risk standards.

Responsibilities

• 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, and ensure proper documents and approvals for higher risk trades.
• Assess trade risk quickly and accurately with knowledge of account types, trading restrictions, and risk controls.
• Be 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.

Skills

Risk management

Regulatory compliance

First-line-of-defense

Analytical thinking

Communication under pressure

AI workflows curiosity

Job description

UBS is seeking a risk supervision professional to join our centralized team supporting Markets and Wealth Management in the United States. In a fast-paced environment, you will review incoming trades for accuracy and serve as a subject-matter expert on risk controls.

The role emphasizes first-line defense, regulatory trading rules, and collaboration with field partners to protect client interests while maintaining compliance and operational efficiency.