Technology Compliance Support

Global Staffing & Talent Solutions•Huntersville, NC

About The Position

ECLARO is seeking a hands-on Compliance Technology Support Officer for its client, an overnight U.S. equities trading venue operating as a broker-dealer ATS, in Huntersville, North Carolina. The role supports technology compliance and oversight across trading operations and combines technical investigation, regulatory reporting controls, incident management, and control assurance. The officer works closely with Technology, Compliance, and business stakeholders to support ongoing trading operations and strengthen the technology compliance program. The position involves overseeing systems and controls related to broker-dealer compliance, regulatory reporting, surveillance, books and records, systems resilience and security, software development, business continuity, and third-party dependencies. It also includes investigating trading activity and reporting discrepancies using FIX messages, system logs, Python, and SQL; coordinating regulatory filings, examinations, and reviews; and maintaining evidence and driving remediation. The officer communicates technical issues and their regulatory and business implications to senior management and may train technology and business teams on regulatory responsibilities and control expectations.

Requirements

Hands-on technology compliance, risk, audit, or oversight experience in a broker-dealer, ATS, exchange, or comparable securities-market organization, including the ability to 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 Client reporting requirements and inquiries.
Experience overseeing CAT and 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, escalation, notifications, communications, and corrective actions.
Experience overseeing controls addressing systems capacity, integrity, resiliency, availability, security, and applicable securities requirements.
Strong understanding of 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 participant and street-wide testing, including documentation and remediation tracking.
Ability to assess control effectiveness, maintain supporting evidence, challenge deficiencies, and drive corrective actions to completion.
Ability to communicate technical issues and their regulatory and business implications clearly to senior management.
Active Series 99 registration or ability to obtain it within three to six months of joining.
Practical proficiency in Python and SQL for analyzing FIX messages, system logs, trading data, CAT and TRF reporting, control checks, and incident investigations.
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.

Nice To Haves

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.

Responsibilities

Oversee systems supporting broker-dealer compliance, including supervisory controls, regulatory reporting, surveillance, books and records, and related policies and procedures.
Analyze FIX messages, raw system logs, and trading data to investigate activity, reconcile reporting discrepancies, support Client reporting requirements, and respond to inquiries.
Oversee Consolidated Audit Trail (CAT) and Trade Reporting Facility (TRF) reporting controls, including accuracy, completeness, timeliness, exceptions, reconciliation, and remediation.
Manage incidents involving systems disruptions, intrusions, and compliance issues, including assessment, executive escalation, regulatory notifications, participant communications, and corrective actions.
Oversee controls for systems capacity, integrity, resiliency, availability, security, and compliance with applicable securities requirements.
Assess Software Development Life Cycle controls, including requirements, testing, source control, release approvals, segregation of duties, emergency changes, and rollback procedures.
Oversee business continuity and disaster recovery readiness, recovery objectives, failover testing, and required participant and street-wide testing; document results and track remediation.
Coordinate Regulation SCI filings, material systems change reporting, annual reviews by objective and qualified personnel, and regulatory examinations.
Assess control effectiveness, maintain supporting evidence, challenge deficiencies, and drive corrective actions to completion.
Translate technical issues into clear regulatory and business implications and communicate them to senior management.
Use 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 for investigations and Client inquiries.
Build or strengthen a technology compliance program while supporting ongoing trading operations.
Assess technology vendors, cloud providers, outsourced systems, and critical third-party dependencies.
Work directly with regulators, auditors, and independent assessors.
Train technology and business teams on regulatory responsibilities, incident escalation, and control expectations.