Overnight Tech Compliance Lead for FinTech Trading

ECLARO; Huntersville (NC); On-site; USD 120,000 - 160,000; Full time

Job summary

ECLARO is partnering with a fintech trading venue in Huntersville, NC to fill a hands-on Compliance Technology Support Officer role. You will strengthen technology compliance, oversee regulatory reporting controls, and engage with Technology, Compliance, and business teams to manage incidents and improve control environments.

The role requires hands-on experience with broker-dealer systems, SDLC controls, and regulatory frameworks, including Regulation SCI.

Qualifications

• 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.

Responsibilities

• Support technology compliance and oversight across trading operations.
• Coordinate incident management, regulatory reporting controls, and control assurance with Technology, Compliance, and business stakeholders.

Skills

Python

SQL

Incident management

Regulatory reporting

SDLC controls

Communication to senior management

Regulation SCI awareness

Series 99 (current or pursued)

Tools

FIX message analysis

System log parsing

CAT/TRF reporting tools

Job description

ECLARO is partnering with a fintech trading venue in Huntersville, NC to fill a hands-on Compliance Technology Support Officer role. You will strengthen technology compliance, oversee regulatory reporting controls, and engage with Technology, Compliance, and business teams to manage incidents and improve control environments.

The role requires hands-on experience with broker-dealer systems, SDLC controls, and regulatory frameworks, including Regulation SCI.