Roles and Skills
ECLARO delivers top talent for a variety of Trade Compliance roles, tailored to meet different organizational needs, skills, and levels of experience and expertise. Although the specifics and titles may vary for each business, our experienced recruiters have a track record of success in helping organizations hire at all levels
Junior Trade Compliance Analysts
Assist in monitoring regulatory updates, ensuring compliance with customs regulations, and supporting senior staff in documentation preparation
Mid-Level Trade Compliance Specialists
Oversee compliance processes, ensure adherence to trade regulations, and manage import/export documentation and customs clearance procedures.
Senior Trade Compliance Managers
Lead trade compliance strategies, manage relationships with regulatory agencies, and ensure all global trade operations comply with applicable laws.
Key skills
- Knowledge of trading regulations (SEC, FINRA, MiFID II, Dodd-Frank)
- Trade surveillance and monitoring expertise
- Financial compliance systems and tools (AML/KYC platforms)
- Data analysis and pattern recognition in trading activity
- Written and verbal communication for regulatory reporting
- Attention to detail and problem-solving under pressure
- Knowledge of capital markets operations and settlement processes
Frequently asked questions
What does a Trading Compliance Professional do day-to-day?
Trading Compliance Professionals monitor trading activities to ensure compliance with financial regulations. Daily tasks include reviewing trade data for suspicious patterns, generating compliance reports, investigating potential violations, documenting regulatory findings, and communicating with trading desk personnel about compliance requirements. They work closely with risk management, legal, and trading teams to maintain regulatory standards.
What certifications or qualifications are required?
Most Trading Compliance Professionals hold the Series 7, Series 63, or Series 65 securities licenses. Many pursue the Chartered Financial Analyst (CFA) or Certified Compliance Professional (CCP) designation. A bachelor's degree in finance, business, or a related field is typically required. Experience in trading, risk management, or compliance roles is valuable for advancement.
What regulations does this role focus on?
Trading Compliance Professionals ensure adherence to key regulations including SEC rules, FINRA regulations, the Dodd-Frank Act, anti-money laundering (AML) requirements, Know Your Customer (KYC) standards, and market abuse regulations. The specific focus depends on the firm's business—equities, fixed income, derivatives, or forex traders all have distinct compliance requirements.
How can we hire a Trading Compliance Professional through ECLARO?
ECLARO specializes in placing both contract and full-time Trading Compliance Professionals at US and Canadian financial firms. Contact ECLARO's staffing team with your specific requirements—compliance focus area, required certifications, experience level, and timeline. ECLARO will match you with pre-vetted candidates who meet your regulatory and operational needs, handling the entire recruitment process from screening to placement.
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).