Lead Compliance, Compliance Testing

About the role

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 i

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