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Compliance Analyst, Testing and Monitoring
(more about Peak6 Investment)
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Unfortunately Peak6 Investment has archived this job posting, they are no longer accepting applications.

Compliance Analyst, Testing and Monitoring

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our clients' customers. 

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Los Angeles, Portland, and Belfast. 

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. 

AFS has received a number of prestigious industry awards, including:

  • 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards
  • 2021 Most Innovative Companies - presented by Fast Company
  • 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

The Compliance Analyst, Testing and Monitoring is responsible for assessing compliance risks and controls implemented by the business and functional areas with focus on FINRA, SEC, and CTFC regulatory requirements.  The role will review of policies and procedures and performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key processes and controls designed to address compliance FINRA, SEC, and CFTC risk.

Responsibilities:

  • Documenting test scope and objectives
  • Create testing scripts conduct fieldwork
  • Host meetings with the line of business during testing to clarify processes and present ongoing results
  • Prepare, write and provide final reporting of findings to appropriate stakeholders
  • Tracking findings from discovery to remediation and conducting validation of management actions plans
  • Participating in the development and enhancement of the compliance testing methodologies and standards for testing, monitoring, and reporting
  • Identifying industry best practices and sharing insight with the broader Compliance team on an ongoing basis
  • Informing Compliance management of significant compliance matters that require their attention or action

Qualifications:

  • Bachelor's Degree or equivalent work experience
  • 1 to 3 years of Compliance, Legal, Regulatory, or Financial Services experience
  • 1 to 3 years of experience conducting and performing regulatory exams, auditing, testing or completing risk assessments
  • Experience in planning, executing (including assessment of policies and procedures and creating testing scripts) and reporting on compliance testing reviews and regulatory issue validation activities
  • Strong interpersonal skills and experience building strong relationships with stakeholders and engaging teams
  • Excellent oral communication and writing skills, especially when interacting with non-executives and executive management across a number of business lines and control functions
  • Must be a self-starter, flexible, innovative and adaptive
  • Highly motivated, strong attention to detail, team oriented, and organized
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential

 

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