JPMorganChase
Workplace Solutions - Trading Specialist, Vice President (Maker/Checker), Malta
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Job Description
The Trading Specialist (Associate) supports the Malta entity's order receipt and transmission activities linked to share plan administration, with a focus on controlled trade processing and accurate, timely regulatory reporting and recordkeeping aligned to MFSA expectations and applicable EU requirements (including MiFID II-related obligations).
Key Responsibilities
Trade Processing (Order Receipt & Transmission)
- Perform maker activities: receive, validate, and capture client equity orders; confirm required order details and cut-offs; transmit orders to executing brokers within SLA.
- Perform checker activities: verify maker inputs, approvals, timeliness, and completeness; confirm orders transmitted match instructions and required controls are evidenced.
- Execute daily controls (e.g., completeness, accuracy, timeliness, duplicate detection, exception checks) and retain audit-ready evidence.
- Manage and resolve exceptions (rejected orders, mismatches, late transmissions), coordinating with brokers/internal teams and escalating per runbook.
Regulatory Reporting & Recordkeeping (Trading-Related)
- Produce and/or support required regulatory reports relating to trading activity, ensuring data quality, reconciliations, and timely submission.
- Maintain complete trading records (order logs, approvals, broker acknowledgements, exception logs, control evidence) in line with retention standards.
- Support regulatory/audit requests by compiling evidence packs, completing process walkthrough documentation, and responding to information requests within deadlines.
Controls, Risk & Issue Management
- Identify control breaks, errors, and near-misses; log incidents, support root-cause analysis, and track remediation actions to closure.
- Contribute to periodic control testing/assurance activities for trading processes (e.g., sample checks, evidence reviews).
- Support complaints or conduct-related queries by providing factual trading/process evidence where relevant.
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Broker / Vendor Operational Coordination
- Act as a day-to-day contact for executing brokers on order queries, rejects, and operational incident coordination.
- Track broker service performance against SLAs (e.g., response times, reject rates), produce basic MI, and escalate recurring issues.
Documentation & Continuous Improvement
- Maintain and improve desk procedures/runbooks, checklists, and process maps for maker/checker workflows and regulatory reporting steps.
- Propose incremental process/control improvements to reduce errors and improve timeliness and transparency.
Key Deliverables
- Accurate, timely order receipt and transmission within SLA using the maker/checker model.
- Completed checker sign-offs and control evidence that is timely, complete, and audit-ready.
- Regulatory reporting deliverables submitted accurately and on schedule with traceable, reconciled support.
- Exceptions/incidents documented promptly with clear remediation tracking to closure.
- Current procedures/runbooks and reporting calendars maintained for trading operations.
Skills & Experience Required
- Experience in trading operations, brokerage operations, order management, or closely related reporting/control roles (equities preferred).
- Strong control mindset and disciplined documentation experience in a maker/checker framework.
- Familiarity with MiFID II concepts relevant to order handling and recordkeeping.
- Strong attention to detail, ability to work to cut-offs, and structured escalation/issue resolution.
- Proficiency in spreadsheets and handling reconciled outputs.
- Clear communication skills with internal stakeholders and executing brokers.
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ABOUT US
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
About The Team
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
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