The Senior Compliance Analyst, Testing role at a leading WealthTech firm in Manila involves executing comprehensive compliance testing to ensure adherence to regulatory frameworks such as FINRA, SEC, and CFTC. This position requires assessing risks, designing sophisticated test plans, and collaborating with business units to identify control gaps. Key responsibilities include performing independent compliance testing, developing dynamic testing methodologies using SQL queries and advanced Excel functions, and providing actionable insights through detailed reports for executive audiences. The ideal candidate possesses extensive knowledge of regulatory frameworks, expertise in data-driven testing, and strong communication skills, along with experience in AI and automation tools to enhance compliance processes. This role demands a forward-looking perspective on industry best practices and emerging trends while maintaining quality assurance across audits and reviews.
Skills
SQL
Excel
FINRA
SEC
CFTC
AI
Automation
Data Workflow Tools
CI/CD
Python
Java
JavaScript
PostgreSQL
MySQL
Kubernetes
Docker
Terraform
AWS
Azure
Google Cloud
Git
Jira
Confluence
Tableau
PowerBI
What you'll do
Perform independent compliance testing to assess control effectiveness in broker dealer/fintech environments.
Design and execute complex test plans using SQL queries and data validation techniques.
Provide actionable insights through detailed reports for internal and executive stakeholders.
Develop and enhance compliance monitoring programs with AI and automation tools.
Mentor team members and ensure quality assurance across all compliance audits/reviews.
Identify industry best practices and emerging regulatory trends to adapt methodologies.
What we're looking for
5+ years of experience in Compliance, Assurance, Internal Audit, Risk or related roles within regulated industries.
Comprehensive knowledge of SEC/FINRA regulatory frameworks and compliance testing methodologies.
Advanced data-driven testing skills including SQL query writing and Microsoft Excel proficiency for large dataset analysis.
Proven ability to design, execute, and document detailed compliance assessments with actionable insights reporting.
Strong organizational and communication skills for managing multiple high-priority projects under tight deadlines.
Market check
Salary context
This listing doesn't show a salary. Similar roles on FindRole typically pay
$137,000–$220,400.
Peer median band
$137,000–$220,400
Median floor and ceiling across peers.
Typical midpoint (25–75%)
$153,275–$211,200
Middle half of comparable postings.
Based on 239 comparable postings.*
* 240 is the maximum number of comparable postings sampled.
Employer
About Apex
Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure
Apex currently has
34 open roles
on FindRole.
Listed pay typically runs
$129,200–$161,500
across 10 roles with salary data.