Compliance Testing and Monitoring Specialist

<div class="content-intro"><h2>Join us in building the future of finance.</h2> <p>Our mission is to democratize finance for all. <a href="https://www.cerulli.com/press-releases/cerulli-anticipates-124-trillion-in-wealth-will-transfer-through-2048" target="_blank">An estimated $124 trillion of assets</a> will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.</p></div><h2><strong>About the team + role</strong></h2> <p>The Testing &amp; Monitoring team’s mission is to ensure operational excellence and regulatory compliance by rigorously evaluating internal controls, operational processes, and systems. We strive to proactively identify risks, validate data integrity, and drive remediation efforts to maintain the highest standards of quality across the organization.</p> <p>As a Compliance Testing and Monitoring Specialist, you will blend the evaluation of internal controls with the technical focus of quality assurance to ensure our products and systems function flawlessly. You will design and execute comprehensive tests, manage complex data validations, and collaborate cross-functionally to resolve issues and uphold strict industry regulations.</p> <h2><strong>What you’ll do</strong></h2> <ul> <li>Design, implement, and execute comprehensive control testing programs to evaluate the effectiveness of internal controls and ensure adherence to complex regulatory requirements.</li> <li>Oversee the ingestion of complex data streams, conducting rigorous QA reviews and validation checks to confirm accuracy, completeness, and functional integrity.</li> <li>Monitor supervisory oversight to verify that designated supervisors are actively executing their required reviews and approvals in accordance with internal policies.</li> <li>Investigate system anomalies, clearly document defects, and partner with engineering and product teams to quickly triage and resolve operational issues.</li> <li>Develop, track, and report on Key Performance Indicators (KPIs) and Service Level Agreements (SLAs), and prepare comprehensive reports for senior leadership and external partners.</li> </ul> <h2><strong>What you bring</strong></h2> <ul> <li><em>This position is restricted to US citizens or lawful permanent residents due to legal requirements.</em></li> <li>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.</li> <li>FINRA SIE and Series 7 licenses required</li> <li>FINRA Series 24