Trade Approval Analyst

UBS•Nashville, TN

9d•$70,000 - $93,000•Onsite

About The Position

We are looking for a Trade Approval Analyst who thrives in a fast-paced environment and can quickly prioritize tasks with an eye for detail. This role acts as a supervisory risk control subject-matter expert for a centralized group that reviews incoming trades for accuracy. The analyst 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. The role requires the ability to quickly and accurately assess trade risk with knowledge of account types, trading restrictions, and risk controls. The analyst must understand and be a subject matter expert in compliance with regulatory trading rules and operational requirements for complex situations. Additionally, the role involves building and maintaining relationships with field partners to provide excellent and timely reviews while prioritizing client best interest.

Requirements

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.
Analytic, with the ability to provide practical solutions for minimizing risk.
Calm under pressure with excellent communication skills and accountability.
Curious to explore how AI can improve how we build, deliver, and optimize workflows.
Sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.

Nice To Haves

FINRA Series 3 and Life Insurance and Variable Annuities licenses preferred.

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.