At a Glance
- Tasks: Support trading operations by processing orders and ensuring regulatory compliance.
- Company: Dynamic financial services firm committed to diversity and inclusion.
- Benefits: Competitive salary, inclusive culture, and opportunities for professional growth.
- Other info: Exciting role with potential for career advancement in a global environment.
- Why this job: Join a team where your attention to detail makes a real impact in trading.
- Qualifications: Experience in trading operations and strong control mindset required.
The predicted salary is between 30000 - 40000 £ per year.
Job Description
The Trading Specialist (Associate) supports the Malta entity's order receipt and transmission activities linked to share plan administration.
The role focuses on controlled trade processing and accurate, timely regulatory reporting and recordkeeping aligned to MFSA expectations and applicable EU requirements (including Mi FID 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 that 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.
- 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 Mi FID 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.
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.
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