Trade Approval Analyst

About the role

Do you thrive in a fast-paced environment? Do you quickly prioritize tasks with an eye for detail? We are looking for someone 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 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 serve as 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
• Explore how AI can improve workflows, validating outputs and aligning with policies, risk standards, and ethical use

About the 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 community.

Requirements

• 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

Skills

• Analytical, with the ability to provide practical solutions for minimizing risk
• Calm under pressure with excellent communication skills and accountability
• Sound judgment and curiosity about leveraging AI to optimize workflows

Location

Nashville, Raleigh, or Weehawken

Pay

The indicative gross base salary range for this full-time role in Weehawken, NJ is USD 70,000 – 93,000 per annum. The expected salary will be determined by relevant factors including role-required experience, qualifications, education, location, and skill level.

Benefits

UBS offers a range of competitive benefits. Additional variable compensation or awards may be provided at the company’s discretion. For further information, visit ubs.com/employee-benefits.