Your role
Do you thrive in fast paced environment? Do you quickly prioritize tasks with an eye for detail?
We are looking for someone like that 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 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
• understands and is 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
• You're curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment - validating outputs and aligning with policies, risk standards, and ethical use
How we hire
We may request you to complete one or more assessments during the application process. Learn more
Salary information
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.
