Full Description

WHO WE ARE Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers. Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila. If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. AFS has received a number of prestigious industry awards, including: 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards 2021 Most Innovative Companies - presented by Fast Company 2021 Best API & Best Trading Technology - presented by Global Fintech Awards ABOUT THIS ROLE The Senior Compliance Analyst (Compliance Testing) plays a pivotal role in ensuring the organization's adherence to regulatory frameworks by executing comprehensive compliance testing activities. Based in Manila, this role is primarily focused on the execution of compliance testing, including building test scripts, performing control testing, validating evidence, and documenting results. The role will work closely with colleagues across the organization to deliver high quality testing outputs. This position is well suited to candidates with experience in compliance testing, internal audit, assurance, or risk-based review roles, who are comfortable working with structured methodologies and detailed documentation in a highly regulated environment. Duties/Responsibilities Perform independent compliance testing activities (testing and ongoing monitoring) to assess the design and operational effectiveness of controls across key business processes in accordance with FINRA, SEC, and CFTC regulatory frameworks. Support the design and development of dynamic testing methodologies, including the creation of complex test scripts, execution of testing plans, and robust documentation of findings. Collaborate with internal stakeholders to address compliance risks related to broker dealer and fintech operations, promoting adherence to regulatory obligations. Leverage SQL queries, data validation techniques, and advanced Excel functions to execute data driven compliance testing. Provide actionable insights via written and verbal reports for internal and executive audiences, ensuring clarity and precision in communicating compliance risks and findings. Develop and enhance compliance monitoring programs by incorporating exposure to AI, automation, and other advanced data workflow tools. Maintain a forward-looking perspective by identifying industry best practices and emerging regulatory trends, proactively adapting methodologies to these developments. Act as a primary reviewer of testing results while mentoring team members to ensure quality assurance and consistency across compliance audits/reviews. Ensure the timely resolution of issues and findings through close collaboration with business leaders, proposing evidence-based recommendations to improve processes and controls. Education and/or Experience Bachelor's Degree in a relevant field or (equivalent work experience) required 5+ years of experience in Compliance, Legal, Regulatory, or Financial Services Testing/Audit roles. Experience in compliance testing, internal audit, assurance, risk or control-based roles within regulated environments. Experience with planning, executing, and reporting on compliance testing reviews as well as regulatory issue validation activities. experience conducting regulatory examinations, compliance reviews, or risk assessments with a strong understanding of policies and procedures. Experience with data analysis, test scripting, or workflow analysis tools is an advantage Professional certifications such as CIA or ICA are desirable. Required Skills/Abilities Willingness to obtain and maintain relevant FINRA registrations and licenses within required timeframe. Familiarity with leveraging data-driven insights into compliance programs is a distinct advantage. Strong understanding of control testing concepts, including walkthroughs, evidence evaluation and issue documentation. Ability to follow structured testing methodologies and produce clear, well organized documentation. Ability to manage workload effectively and meet deadlines in a fast-paced environment. Strong attention to detail and comfort working with large volumes of data/evidence. Working knowledge of excel (e.g. pivot tables, formulas, data review) Willingness to develop technical compliance and assurance skills. Work Environment This job operates in a hybrid, office environment 2 days per week. #compliance #mid-senior #full-time #LI-JO1 #AFSPH Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. Our Rewards We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 20 days of vacation leave plus regular and special non-working holidays, and a training and development budget. Our benefits also cover private health insurance for medical and dental, as well as life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly team lunch-outs, unlimited drinks and snacks, and company recognition & rewards. EEO Statement Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics. Disability Statement Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process. At Apex, we aim to enable frictionless investing for everyone. Help us in our mission to democratize finance, and apply to our open roles today. Introduce yourself to our recruiters and we'll get in touch if there's a role that seems like a good match. At Apex, we stand for efficiency and transparency. In every office, you’ll find passionate, committed, dedicated teams driven to find smart solutions to solve our clients’ toughest challenges. We are passionate about our employees, providing the benefits and perks that elevate you, reward you, and help you give back. We provide great flexibility, a collaborative, open work space, and real potential to grow with the firm.