Senior Consultant for Capital Markets Internal Audit

Your Journey at Crowe Starts Here: At Crowe, you have the opportunity to build a fulfilling career with flexibility that allows you to balance work and personal life. You are trusted to deliver impactful results, and we value you for who you are, prioritizing your well-being and career growth. With over 80 years of history, we are committed to innovative service across audit, tax, and consulting. Join us and help shape the future of our industry. Job Description: Senior Consultant for Capital Markets Internal Audit - Compliance Focus About the Role We are looking for a Senior Consultant in Capital Markets Internal Audit to support our internal audits of compliance programs related to trading and investment operations. This hands-on position is ideal for professionals eager to enhance their expertise and progress towards leadership. Key Responsibilities Conduct internal audit engagements (excluding financial statement audits). Perform testing and documentation of compliance and conduct risk controls. Focus on regulatory and compliance 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 leadership. Monitor and analyze evolving regulations (SEC, FINRA, CFTC, FCA, MiFID II, Dodd-Frank). Qualifications 3-5 years of experience in internal audit, compliance, or risk management. Strong working knowledge of capital markets regulatory requirements. Exceptional analytical skills and attention to detail. Ability to work collaboratively with effective communication skills. Certifications in progress or interest (CPA, CIA, CFA, CAMS) are a plus. We expect candidates to embody Crowe's values of Care, Trust, Courage, and Stewardship, acting ethically and with integrity at all times. The application deadline for this role is 08/31/2026. In compliance with federal law, all hires will be required to verify their 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. The wage range for this role takes into consideration various factors including skill sets, experience, training, licensure, certifications, and organizational needs. A reasonable estimate is $74,100.00 - $147,800.00 per year. Our Benefits: At Crowe, we value our people and offer an exceptional total rewards package. Discover what working at Crowe can offer you! How You Can Grow: We will nurture your talent in an inclusive culture that values diversity, providing regular access to a Career Coach to guide your career goals. More about Crowe: Crowe is one of the largest public accounting, consulting, and technology firms in the United States, offering deep industry expertise to audit services and helping clients achieve their goals with tax, advisory, risk, and performance services. Crowe is recognized as one of the best places to work and serves clients globally as part of Crowe Global, a network of over 200 independent accounting and advisory firms in more than 130 countries. Crowe LLP provides equal employment opportunities and prohibits all forms of discrimination and harassment. We welcome qualified applicants, including those with criminal histories, consistent with applicable laws.

Created: 2026-03-04