Technology Compliance Support

Technology Compliance Support
Job Number: 26-01850

 
What if trading never had to stop? ECLARO is looking for a Technology Compliance Support for our client in Huntersville, NC.
 
Our client is a fintech innovator transforming global trading by making U.S. equities accessible beyond traditional market hours. Through innovative technology and a global-first approach, they’re connecting investors worldwide and shaping the future of financial markets.
 
Position Overview:

• Our client, an overnight U.S. Equities trading venue operating as a broker-dealer ATS, is seeking a hands-on Compliance Technology Support Officer to support technology compliance and oversight across its trading operations.
• This role combines technical investigation, regulatory reporting controls, incident management, and control assurance, working closely with Technology, Compliance, and business stakeholders.

• Hands-on technology compliance, risk, audit, or oversight experience within a broker-dealer, ATS, exchange, or comparable securities-market organization, with the ability to personally execute day-to-day responsibilities.
• Experience managing or overseeing systems supporting broker-dealer compliance, including supervisory controls, regulatory reporting, surveillance, books and records, and associated policies and procedures.
• Experience analyzing FIX messages and parsing raw system logs to investigate trading activity, reconcile reporting discrepancies, and support complex Client reporting requirements and inquiries.
• Experience overseeing Consolidated Audit Trail (CAT) and Trade Reporting Facility (TRF) reporting controls, including data accuracy, completeness, timeliness, exception management, reconciliation, and remediation.
• Strong incident management experience involving systems disruptions, intrusions, and compliance issues, including assessment, executive escalation, regulatory notifications, participant communications, and corrective actions.
• Experience overseeing controls addressing systems capacity, integrity, resiliency, availability, security, and compliance with applicable securities requirements.
• Strong understanding of Software Development Life Cycle (SDLC) controls, including requirements, testing, source control, release approvals, segregation of duties, emergency changes, and rollback procedures.
• Experience overseeing business continuity and disaster recovery readiness, recovery objectives, failover testing, and required participant and street-wide testing, including documenting results and tracking remediation.
• Experience coordinating Regulation SCI filings, material systems change reporting, annual reviews by objective and qualified personnel, and regulatory examinations.
• Ability to assess control effectiveness, maintain supporting evidence, challenge deficiencies, and drive corrective actions to completion.
• Ability to translate technical issues into clear regulatory and business implications and communicate them to senior management.
• Active Series 99 registration or the ability to obtain it within three to six months of joining.
• Practical proficiency in Python and SQL to parse FIX messages and system logs, query trading data, reconcile CAT and TRF reporting, automate control checks, and produce reproducible analysis supporting incident investigations and Client inquiries.
• Experience building or strengthening a technology compliance program while supporting ongoing trading operations.
• Experience assessing technology vendors, cloud providers, outsourced systems, and critical third-party dependencies.
• Experience working directly with regulators, auditors, and independent assessors.
• Experience training technology and business teams on regulatory responsibilities, incident escalation, and control expectations.

• Experience supporting SOC 2 examinations, including control design, evidence collection, examination coordination, and remediation.
• Experience supporting trading systems, order routing, market data, market surveillance, and related operational controls.
• Direct experience implementing, managing, or reviewing a Regulation SCI program, including system classification, policies, procedures, controls, and required records.