Note: The job is a remote job and is open to candidates in USA. ECLARO is recruiting for an unnamed client, an overnight U.S. equities trading venue operating as a broker-dealer ATS. The Compliance Technology Support Analyst supports technology compliance and oversight across trading operations through technical investigation, regulatory reporting controls, incident management, and control assurance.
Skills
- 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 lifecycle (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
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