Enterprise Risk Analyst – Audit Support

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.  

 At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. 

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. 

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. 

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: 

Best Places to Work 

2026, 2025, 2024, 2023 - Presented by BuiltIn 

WealthTech of the Year 

2025 - Presented by US FinTech Awards 

The World’s Top 250 Fintech Companies 

2024 - Presented by CNBC 

ABOUT THIS ROLE

Overview:
As an Enterprise Risk Analyst – Audit Support, you will lead and manage audit readiness and execution activities for the firm, with primary focus on SOC 1 (Type II) and ISO22301. You will work alongside the senior leadership team in Belfast to coordinate audit scoping, timelines, evidence management, and auditor interactions. You will build metrics, KPIs and dashboards that help senior management make informed decisions on audit preparedness and ongoing assurance. You will also support other audit requirements as needed by the business, including client due diligence, internal audit, external audit and regulator requests.
Key responsibilities:

• Own end-to-end audit readiness for SOC 1 and ISO22301, including scope definition, project plan, milestones and stakeholder management.

• Serve as the primary liaison with external auditors and internal stakeholders; managing evidence request lists, walkthroughs, sampling, evidence gathering and status reporting.

• Document and maintain process narratives, flowcharts, RACI charts, matrices and mappings to applicable SOC 1 and ISO22301 criteria.

• Coordinate and perform testing support (design and operating effectiveness of key activities), including evidence collection, quality reviews and retention.

• Track observations and exceptions; drive timely remediation with process owners; validate and document closure.

• Build and maintain standardized audit artifacts and a central evidence repository; streamline repeatable audit cycles and playbooks.

• Produce clear audit status dashboards, KPIs and management updates; escalate blockers and dependencies promptly.

• Deliver training and guidance to process owners on audit expectations, evidence standards and recurring requirements.

• Support other audit and assurance needs across the business, including client due diligence questionnaires, internal audit fieldwork, external audit inquiries and regulator information requests.

 
Essential criteria:

• 3+ years experience in the financial services industry, or equivalent.

• Experience working in Audit, Compliance, or Operations with direct responsibility for external audit support.

• Demonstrated experience supporting SOC 1, ISO22301 or other recognized standard certification audit or readiness activities.

• Proven stakeholder management with the ability to influence across teams and external parties.

• Exceptional documentation, organizational and evidence management skills; strong attention to detail and follow-through.

• Excellent written and verbal communication skills; ability to prioritize in a fast-paced, multi-task environment.

• Willingness to learn, adapt and grow in a dynamic organization.

Preferred qualifications:

• Bachelor’s degree, or equivalent practical experience.

• Experience with audit/evidence management or GRC platforms; strong proficiency with collaboration and documentation tools.

• Ability to work effectively across functions and time zones.

• Understanding of the brokerage, payments and/or broader financial services industry and related audit expectations.

Desirable qualifications:

• Solid technology acumen (e.g., identity and access, change enablement, backup/restore, logging/monitoring) to support audit evidence.

​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 a market-leading salary with an annual bonus, 20 days of vacation leave plus regular and special non-working holidays, and a training and development budget. Our benefits also cover private health insurance for medical and dental, as well as life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly team lunch-outs, unlimited drinks and snacks, and company recognition & rewards.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.