Trade Approval Analyst

About the role

We are seeking a dynamic individual to join our team as a supervisory risk control subject-matter expert. This role involves reviewing incoming trades for accuracy, performing first-line defense activities, and ensuring compliance with regulatory rules and operational requirements.

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 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.
• Understand and 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.

Requirements

• Ideal candidate should have 3+ years of experience within the financial industry in the areas of risk management, operations, trading, or compliance/supervision.
• FINRA Series 7, 66, 3, 9&10 (or equivalent) required.
• FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred.
• Analytic skills with the ability to provide practical solutions for minimizing risk.
• Calm under pressure with excellent communication skills and accountability.

Qualifications

• Curiosity to explore how AI can improve workflows.
• Sound judgment in validating outputs and aligning with policies, risk standards, and ethical use.

Skills

• Strong analytical skills.
• Excellent communication and problem-solving abilities.
• Ability to manage multiple priorities and deadlines.
• Knowledge of regulatory trading rules and operational requirements.

Benefits

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

Pay

The indicative gross base salary range as a full-time equivalent role: United States - New Jersey - Weehawken min USD 70000 - max USD 93000 /annum.

Schedule

Full-Time