Trade Approval Analyst

About the role

We are looking for a supervisory risk control subject-matter expert for a centralized group that reviews incoming trades for accuracy. In this role, you will:

• 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.
• 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.

You thrive in a fast-paced environment, quickly prioritize tasks with an eye for detail, and remain calm under pressure with excellent communication skills and accountability.

About the team

You will join a collaborative central team supporting our Markets as they deliver world-class Wealth Management services to internal and external clients. Together, we focus on mitigating risk, managing the business, and supporting our associates and community.

Requirements

• 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 the ability to provide practical solutions for minimizing risk.

Pay

The indicative gross base salary range for this full-time role in Weehawken, New Jersey 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. UBS offers a range of competitive benefits and may provide additional variable compensation or awards at its sole discretion.

Location

This role is available in Nashville, Raleigh, or Weehawken.