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Wealth Management, Investment Product Middle Office Equity Trade Support, Associate

Req #: 180007263
Location: New York, NY, US
Job Category: Operations
Job Description:


Firm Introduction: J.P. Morgan Asset & Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.

Description: The Equity (“EQ”) Trade Support Associate is responsible for a variety of functions supporting the Equity Derivative, Equity Structuring, and Cash Equity trading businesses. This covers multiple markets and products including OTC equity derivatives, structured notes, cash equities, and exchange traded derivatives.
This role will focus on new product implementation, trade flow management, platform support, T+0 trade support, street / client side settlement, and resolution of complex ad hoc issues. The individual will also be responsible for ensuring proper controls are in place across daily tasks and functions and potential or new risks are identified and documented within the Investment Products Middle Office risk and control framework. In addition, the individual will be expected to drive efficiency initiatives in daily operations, and define the operational model for new business initiatives and strategic business / regulatory agendas. These responsibilities entail working closely with the Front Office, Core Operations, Technology, Legal, Risk, Compliance, and other areas of the firm, both regionally and globally.
  • Coordinate with different functional areas  including Technology, Front Office Product Desks, Supervisory Management, Compliance, and Settlements to implement process, system, and product changes
  • Act as middle office stakeholder for business, control, and regulatory implementation agendas
  • Provide Investor, Financial Advisor, and Client Service support to resolve ad hoc queries pertaining to order submission, order routing, order execution management
  • Monitor order/trade break and fail management reconciliation  reports to reduce business risk
  • Interface with Operations on trade booking, fail management, exception processing, and ad hoc queries
  • Coordinate with investment technology to escalate daily defect management and support of strategic trading application enhancements
  • Consistent focus on improving functional efficiency and control of daily tasks
  • Compile and assist with developing MIS data for  regular management reporting
  • Document procedures and process flows, and ensure they are kept accurate
  • Assist in developing and reviewing documented test plans, and coordination of test scenarios
  • Assist in the development of training materials


  • Analytical Skills: must be highly analytical with experience using objective data to drive strategic recommendations
  • Problem Solving Skills: candidate must be able to identify, understand, and address operational and technical issues
  • Strong communication and presentation skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
  • Ability to multitask and to work under pressure, prioritizing duties according to risk
  • Ability to face off to demanding stakeholders, managing their expectations while developing strong working relationships with them
  • A self-motivated individual who is able to deliver with minimal supervision while working effectively as part of a team
  • Previous experience in the Financial Services industry, ideally with specialization in Equity Derivative and/ or Cash Equities products or trade support
  • Previous experience with regulatory influences (e.g. FINRA and SEC)
  • Knowledge of clearing, settlements, asset services, and transaction lifecycles
  • Bachelor degree required (Degree in Finance or Economics preferred)
  • Work Experience: 4-8 years broker dealer or wealth management experience
  • Series 99 (Series 7 / 63 a plus)
  • Strong Excel skills; VBA macros a plus
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