Roles and Skills
ECLARO delivers top talent for a variety of Trading Compliance Analyst roles, tailored to meet different project needs, skills and levels of experience and expertise. Although the specifics and titles may vary for each individual business, our experienced recruiters have a track record of success in helping businesses hire at all levels
Junior Trading Compliance Analysts
Focus on performing basic trading compliance tasks, assisting with data entry and trade monitoring and maintaining compliance records.
Mid-Level Trading Compliance Analysts
Handle more complex trading compliance analysis tasks, integrate trading data with overall business strategies and contribute to the development of new trading compliance procedures.
Senior Trading Compliance Analysts
Lead trading compliance initiatives, develop and implement comprehensive trading compliance strategies and manage large-scale trading compliance projects from start to finish.
Key skills
- Regulatory Knowledge (SEC, FINRA, CFTC rules and guidelines)
- Trade Surveillance and Monitoring
- Financial Systems & Trading Platforms (Bloomberg, E*TRADE, proprietary platforms)
- Attention to Detail and Documentation
- Compliance Reporting and Risk Assessment
- Communication and Stakeholder Management
- Data Analysis and Pattern Recognition
Frequently asked questions
What does a Trading Compliance Analyst do day-to-day?
Trading Compliance Analysts monitor trades, trading communications, and compliance events to ensure adherence to regulatory requirements and firm policies. Daily responsibilities include reviewing trade data, monitoring surveillance systems for anomalies or suspicious activity, documenting compliance issues, and preparing reports for compliance officers and regulators. They also respond to inquiries, escalate violations, and work with trading desk teams to resolve compliance gaps.
What qualifications and certifications does a Trading Compliance Analyst need?
Most firms require a bachelor's degree in finance, business, economics, or related field. FINRA Series 24 (General Securities Principal) or Series 57 (Securities Trader) licenses are common, though Series 7 (General Securities Representative) is sometimes sufficient for entry-level roles. Many employers prefer candidates with Series 63 or 65 for securities law knowledge. Prior experience in compliance, trading operations, or regulatory affairs is highly valued. Some roles also benefit from certifications like Compliance Certification Program (CCP) or Financial Risk Management (FRM).
How do I hire a Trading Compliance Analyst through ECLARO?
ECLARO specializes in placing highly qualified Trading Compliance Analysts for both contract and full-time roles across the US and Canada. Our team understands the specific regulatory and technical skill sets required, and we pre-screen candidates for industry licenses, compliance knowledge, and experience with financial trading systems. Contact ECLARO today to discuss your staffing needs—we'll match you with candidates who fit your firm's compliance culture and technical requirements.
What are the key responsibilities in this role?
Key responsibilities include monitoring trading activity for policy and regulatory violations, documenting compliance incidents and exceptions, assisting with regulatory examinations and inquiries, analyzing trade data for suspicious patterns, maintaining audit trails and records, and collaborating with compliance and legal teams on remediation. They may also support training initiatives, help update compliance procedures, and prepare compliance metrics and dashboards for management review.
Ways to hire through ECLARO
ECLARO can fill this role through contract or contract-to-hire staffing, direct placement, an Employer of Record (EOR), recruitment process outsourcing (RPO), or a dedicated offshore team in the Philippines (ECAPTIVE).