Apex
Fintech
LeadCompliance,ComplianceTesting
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“Lead Compliance, Compliance Testing at Apex. Skills: Compliance testing, Data driven testing, Regulatory frameworks. Perform independent compliance testing. Support design of dynamic testing methodologies”
What You'll Achieve.
Deliver high quality testing and assurance outcomes; Ensure compliance, efficiency, and proactive risk management; Improve processes and controls
Industry & Context.
Advanced analytical skills; Identify, analyze, and interpret trends within datasets
What They're Looking For.
Must Have
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, Demonstrated experience conducting regulatory examinations, compliance reviews, or risk assessments with a 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
Nice to Have
FINRA/SEC advantageous, Professional certifications such as CIA or ICA are desirable, 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
What You'll Do.
Perform independent compliance testing
Support design of dynamic testing methodologies
Collaborate with internal stakeholders
Leverage SQL queries for testing
Provide actionable insights via reports
Develop and enhance compliance monitoring programs
Maintain forward-looking perspective
Act as primary reviewer of testing results
Ensure timely resolution of issues
How You'll Work.
Team & Collaboration
Collaborate across business units; Collaborate with internal stakeholders; Stakeholder management across geographically diverse teams; Facilitate collaboration and build relationships with stakeholders
Communication Scope
Exceptional communication skills; Report writing for executive and operational audiences; Verbal reports
Process & Methodology
Concurrently manage multiple, high priority projects under tight deadlines
Full Job Description
**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 busines
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