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Workplace Solutions - Trading Specialist, Sr. Associate (Maker/Checker), Malta
senior · Corporate Finance
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.
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.