Compliance Testing and Monitoring Specialist

About This RoleAI processing…

Key Responsibilities

• 1
  Design, implement, and execute comprehensive control testing programs to evaluate the effectiveness of internal controls and ensure adherence to complex regulatory requirements.
• 2
  Oversee the ingestion of complex data streams, conducting rigorous QA reviews and validation checks to confirm accuracy, completeness, and functional integrity.
• 3
  Monitor supervisory oversight to verify that designated supervisors are actively executing their required reviews and approvals in accordance with internal policies.
• 4
  Investigate system anomalies, clearly document defects, and partner with engineering and product teams to quickly triage and resolve operational issues.
• 5
  Develop, track, and report on Key Performance Indicators (KPIs) and Service Level Agreements (SLAs), and prepare comprehensive reports for senior leadership and external partners.

Requirements

• This position is restricted to US citizens or lawful permanent residents due to legal requirements.
• A Bachelor’s degree in Finance, Business Administration, Information Systems, or a related field, alongside 3 years of experience in Audit, Risk Management, Compliance, or Quality Assurance.
• FINRA SIE and Series 7 licenses required
• FINRA Series 24 required or obtained within 120 days of hire
• Deep familiarity with financial regulatory frameworks and policy management, ideally within FinTech, financial services, or another highly regulated industry.
• Strong analytical problem-solving skills with a proven ability to analyze complex data sets, validate data ingestion, and translate findings into actionable insights.
• Demonstrated client-facing experience, with the ability to effectively present findings, address inquiries, and ensure the successful delivery of critical reports and deliverables.
• Excellent written and verbal communication skills to articulate complex compliance issues to diverse audiences, paired with proficiency in issue-tracking software, reporting tools, and testing frameworks.

Perks & Benefits