Compliance Testing And Monitoring Specialist (Fintech)

TL;DR

Compliance Testing and Monitoring Specialist (Fintech): Designing and executing comprehensive control testing programs to ensure operational excellence and regulatory adherence with an accent on data validation and internal control evaluation. Focus on investigating system anomalies, managing complex data streams, and collaborating with engineering teams to resolve operational issues.

Location: Must be based in Denver, CO (Onsite role).

Salary: $82,000–$97,000 USD (Zone 2 compensation).

Company

A leading financial services platform dedicated to democratizing finance for all.

What you will do

• Design, implement, and execute comprehensive control testing programs to evaluate internal controls.
• Oversee ingestion of complex data streams and conduct rigorous QA reviews for accuracy and integrity.
• Monitor supervisory oversight to verify execution of required reviews and approvals.
• Investigate system anomalies and document defects for triage with engineering and product teams.
• Develop and report on KPIs and SLAs for senior leadership and external partners.

Requirements

• Must be a US citizen or lawful permanent resident.
• Bachelor’s degree in Finance, Business, Information Systems, or related field.
• 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.

Culture & Benefits

• Performance-driven compensation with bonus programs and equity ownership.
• 401(k) matching and 100% paid health insurance for employees.
• Flexible lifestyle wallet for wellness and learning.
• Employer-paid life and disability insurance, fertility, and mental health benefits.
• Generous time off including holidays, PTO, sick time, and parental leave.