Enterprise Risk Analyst

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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila.

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

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 ISO
22301. 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.

Duties/Responsibilities

• Own end-to-end audit readiness for SOC 1 and ISO
  22301, including scope definition, project plan, milestones and stakeholder management.
• Take ownership of additional audit requirements necessary as the business grows.
• 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 ISO
  22301 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.
• Other enterprise risk projects as determined by the team's goals.

Education and/or Experience

• Bachelor’s degree (or equivalent practical experience) required
• 3+ years’ experience in the financial services industry, or equivalent.
• Experience working in Audit, Compliance, or Operations with direct responsibility for external audit support.
• Experience with audit/evidence management or GRC platforms; strong proficiency with collaboration and documentation tools.
• Demonstrated experience supporting SOC 1, ISO
  22301 or other recognized standard certification audit or readiness activities.
• Professional certifications such as CISA, CIA, ISO 22301 Lead Implementer/Lead Auditor, CBCP, or equivalent preferred.

Required Skills/Abilities

• 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.
• Ability to work effectively across functions and time zones.
• Understanding of the brokerage, payments and/or broader financial services industry and related audit expectations.
• Solid technology acumen (e.g., identity and access, change enablement, backup/restore, logging/monitoring) to support audit evidence preferred.

Work Environment

• This job operates in a hybrid, office environment 2 days per week.

#legal #associate #full-time #LI-DM1 #AFSUK

Our Rewards

We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 28 days of annual leave plus 10 Northern Ireland national holidays, a training and development budget, and a pension matched up to 7%. Our benefits also cover private health…