Lead Compliance, Compliance Testing

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. The position requires experience in regulatory frameworks, FINRA/SEC advantageous, and leverages technology-driven solutions to ensure compliance, efficiency, and proactive risk management.

Duties and 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 methodol...