Sr Compliance Analyst; 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:

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 Belfast, 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.

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…