Lead Compliance, Compliance Testing

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.  

 At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. 

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. 

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. 

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: 

Best Places to Work 

2026, 2025, 2024, 2023 - Presented by BuiltIn 

WealthTech of the Year 

2025 - Presented by US FinTech Awards 

The World’s Top 250 Fintech Companies 

2024 - Presented by CNBC 

ABOUT THIS ROLE

Job Summary:   
 
The Senior Compliance Analyst, 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 responsible for assessing compliance risks, evaluating the design and operating effectiveness of controls, and delivering high quality testing and assurance outcomes across business processes.  This individual will independently assess compliance risks, design sophisticated test plans, and collaborate across business units to identify and remediate control gaps. The position requires experience in regulatory frameworks, FINRA/SEC advantageous, and leverages technology-driven solutions to ensure compliance, efficiency, and proactive risk management.     
 
This role demands a blend of advanced analytical skills, operational knowledge of broker dealer/fintech environments, strong technical expertise in data driven testing methodologies, and proven stakeholder management capabilities.  
 
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.  

Required Skills and Experience: 

• Comprehensive knowledge of relevant regulatory frameworks within regulated industries. Experience of SEC/FINRA is desirable. 

• Expertise in compliance testing and/or audit methodologies, with the ability to design, execute, and document detailed assessments.   

• Advanced data driven testing skills, including SQL query writing, data validation, and Microsoft Excel proficiency for large dataset analysis.  

• Exceptional communication skills, with an emphasis on report writing for executive and operational audiences and stakeholder management across geographically diverse teams.   

• Strong organizational skills, attention to detail, and the ability to concurrently manage multiple, high priority projects under tight deadlines. 

• Technical exposure or experience with AI, automation, and data workflow tools, with an interest in leveraging these to enhance compliance processes.   

• Proven ability to identify, analyze, and interpret trends within datasets to assess compliance risks.   

• Highly motivated self-starter with the ability to adapt to evolving priorities and regulatory landscapes.   

• Strong interpersonal skills to facilitate collaboration and build relationships with stakeholders at all levels.

Education and/or Experience:  

• Bachelor's Degree in a relevant field (e.g. Business, Finance, Law) or equivalent work experience.    

• 5+ years of experience in Compliance, Assurance, Internal Audit, Risk or related roles within regulated industries. 

• Professional certifications such as CIA or ICA are desirable. 

• Willingness to obtain and maintain relevant FINRA registrations and licenses within required timeframe. 

• Demonstrated experience conducting regulatory examinations, compliance reviews, or risk assessments with a strong understanding of policies and procedures.   

• Solid operational knowledge of broker dealer/fintech business models, including trading, market activities, and risk management systems.   

• Experience with planning, executing, and reporting on compliance testing reviews as well as regulatory issue validation activities.  

• Familiarity with leveraging data-driven insights into compliance programs is a distinct advantage.

​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.