Compliance Analyst Jobs at Peak6 in Manila, Metro Manila
Peak6 is currently seeking applicants for the position of Compliance Analyst in the Manila area. The available job type for this position is Full-time.
We are specifically looking for individuals who possess strong skills and have a minimum of beginners/seniors in the field. In addition to technical expertise, we highly value honesty, discipline, and a strong sense of responsibility in our employees.
Peak6 operates within the (according to the company) industry. If you are interested in applying for this position and becoming a part of our company, we encourage you to submit your application.
Job Information
| Company: | Peak6 |
| Position: | Compliance Analyst |
| Region: | Manila - Metro Manila, Metro Manila |
| Education: | Confidential |
| Salary: | PHP 14.500 - PHP 30.000 per Month |
| Job Type: | Full-time |
Job Description
WHO WE ARE
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, 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
ABOUT THIS ROLE
The Compliance Analyst (Testing) will undertake duties in accordance with the Compliance Testing Programme, which will include creating test scripts and supporting the wider team in ensuring that business activities and processes are compliant with rules and regulations. They will undertake risk assessments across various functional areas, identify weaknesses and provide data which will inform remediation. An individual in this position must have strong reporting and analytical skills, attention to detail, organizational skills, and the ability to effectively communicate
Duties/Responsibilities
The role is responsible for assessing compliance risks and controls implemented by the business and functional areas in accordance with FINRA, SEC, and CTFC regulatory requirements.
The role will perform 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
Participating in the development and enhancement of the compliance testing methodologies and standards for testing, monitoring, and reporting
Developing and executing testing plans including sample selection, data analysis and documentation of findings
Collaborating with internal stakeholders to understand business operations and identify compliance risks
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
Education and/or Experience
Bachelor’s Degree or equivalent work experience required
2+ years of Compliance, Legal, Regulatory, or Financial Services experience
2+ years of experience conducting and performing regulatory exams, auditing, testing or completing risk assessments
Encompass a level of understanding of the role of Compliance and Risk Management
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
Required Skills/Abilities
Strong interpersonal skills and experience building strong relationships with stakeholders and engaging geographically diverse 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 multitask effectively under pressure and excellent organizational and time management skills are essential
Ability to identify and analyze trends
Work Environment
This job operates in a hybrid, office environment.
#compliance #associate #full-time #LI-MW1 #APEX
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
Our Rewards
We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.
Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment
We’re looking for all kinds of people.
At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member’s unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.
Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
Application Requirements
- Physically and mentally healthy
- Minimum age of 17 years
- Disciplined and punctual
- Honest and responsible
- Good personality
- Enthusiasm in working and learning
- For other requirements, please check through the job form.
Company address
| Province | Metro Manila |
| City | Manila |
| Google Map | Google Map |
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