Trade Approval Analyst

Risk

Your role

• 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.
• 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.

Your 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 our community.

Your expertise

• Ideally 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.
• Analytic, with the ability to provide practical solutions for minimizing risk.
• Calm under pressure with excellent communication skills and accountability.

Salary information

• United States – New Jersey – Weehawken: min USD 70,000, max USD 93,000 per annum.

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.