Bank Capital Markets Internal Audit Senior Consultant
Listed on 2026-07-10
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Finance & Banking
Financial Compliance, Risk Manager/Analyst, Regulatory Compliance Specialist
Large Bank Capital Markets Audit Senior Consultant – Compliance Focus
We’re looking for a Capital Markets Audit Senior Consultant to support internal audits of compliance programs across trading and investment operations. This is a hands‑on role ideal for professionals looking to deepen their expertise and grow toward leadership.
Key Responsibilities- Execute internal audit engagements (not financial statement audits).
- Perform testing and documentation on compliance and conduct risk controls.
- Focus on areas including:
- Broker‑dealers and registered investment advisors (RIAs)
- Swap dealers and derivatives compliance
- Volcker Rule monitoring
- Conduct risk and capital markets compliance
- Draft audit reports and share insights with audit leaders.
- Monitor evolving regulations (SEC, FINRA, CFTC, FCA, MiFID II, Dodd‑Frank).
- 3–5 years of experience in internal audit, compliance, or risk management.
- Working knowledge of capital markets regulatory requirements.
- Strong analytical skills and attention to detail.
- Team player with clear communication skills.
- Certifications in progress or interest (CPA, CIA, CFA, CAMS) a plus.
We expect the candidate to uphold Crowe’s values of Care, Trust, Courage, and Stewardship. These values define who we are. We expect all of our people to act ethically and with integrity at all times.
In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. Crowe is not sponsoring for work authorization at this time.
Crowe LLP provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, sexual orientation, gender identity or expression, genetics, national origin, disability or protected veteran status, or any other characteristic protected by federal, state or local laws.
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