Technology Compliance Support

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

Job Number: 26-01850

What if trading never had to stop? ECLARO is looking for a

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.

Required 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.
• 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.

Preferred Qualifications

• 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.

Equal Opportunity Employer: Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.