Large Bank Capital Markets Internal Audit Senior Consultant jobs in United States
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Crowe · 20 hours ago

Large Bank Capital Markets Internal Audit Senior Consultant

Crowe is one of the largest public accounting, consulting, and technology firms in the United States, known for its commitment to innovation and employee growth. They are seeking a Capital Markets Audit Senior Consultant to support internal audits of compliance programs across trading and investment operations, focusing on areas such as broker-dealers, swap dealers, and regulatory compliance. This role offers an opportunity for professionals to deepen their expertise and grow toward leadership within a supportive and inclusive environment.

AccountingAdviceConsultingFinanceFinancial ServicesInformation TechnologyProfessional ServicesTax Consulting
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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)

Qualification

Internal audit experienceCompliance knowledgeRisk management experienceCapital markets regulationsAnalytical skillsCertifications CPACertifications CIACertifications CFACertifications CAMSTeam playerCommunication skills

Required

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

Preferred

Certifications in progress or interest (CPA, CIA, CFA, CAMS) a plus

Benefits

Comprehensive total rewards package

Company

Crowe LLP is a public accounting, consulting, and technology firm.

Funding

Current Stage
Late Stage
Total Funding
unknown
2023-08-29Acquired

Leadership Team

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James L. Powers
CEO
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Joy Mikolajczak Duce
Managing Principal/Partner - Human Capital Consulting
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