Senior Consultant for Capital Markets Internal Audit

Your Journey at Crowe Starts Here: At Crowe, we provide the opportunity to build a meaningful and rewarding career. We offer real flexibility to balance work with life moments, and you’ll be trusted to deliver results and make an impact. We embrace you for who you are, care for your well-being, and nurture your career. Our commitment to equitable access to opportunities for career growth and leadership has been fundamental to our culture for over 80 years. Innovation is core to our DNA, and we continuously invest in cutting-edge ideas, including AI-enabled insights and technology-powered solutions. Join Crowe to embark on a career that allows you to shape the future of the industry. Job Description: Senior Consultant for Capital Markets Audit - Compliance Focus About the Role We are seeking a Senior Consultant for Capital Markets Audits to lead our internal audits of compliance programs across trading and investment operations. This hands-on role is perfect for professionals eager to deepen their expertise and advance towards leadership positions. Key Responsibilities Conduct internal audit engagements (non-financial statement audits). Perform testing and documentation of compliance and conduct risk controls. Concentrate on key areas, including: Broker-dealers and registered investment advisors (RIAs) Swap dealers and derivatives compliance Volcker Rule monitoring Conduct risk and capital markets compliance Draft comprehensive audit reports and share insights with audit leadership. Keep abreast of evolving regulations (SEC, FINRA, CFTC, FCA, MiFID II, Dodd-Frank). Qualifications 3-5 years of experience in internal audit, compliance, or risk management. Strong understanding of capital markets regulatory requirements. Excellent analytical skills and attention to detail. Collaborative team player with effective communication skills. Certifications (e.g., CPA, CIA, CFA, CAMS) in progress or with interest are a plus. We expect the candidate to uphold Crowe's values of Care, Trust, Courage, and Stewardship, which define our organizational culture. Integrity and ethical behavior are paramount. In compliance with federal law, all hires will need to verify their identity and eligibility to work in the United States and complete the required employment eligibility verification form upon hire. Crowe does not sponsor work authorization at this time. The wage range for this position is estimated to be $74,100.00 - $147,800.00 per year, based on multiple factors including skills, experience, and organizational needs. Our Benefits: At Crowe, we recognize that exceptional people contribute to our firm's success. We provide a comprehensive total rewards package to our employees. Discover how working at Crowe can be a significant milestone in your career! How You Can Grow: We foster a nurturing environment that values diversity and inclusivity. You will have the opportunity to meet regularly with your Career Coach to discuss your career goals and aspirations. More About Crowe: Crowe is one of the largest public accounting, consulting, and technology firms in the U.S. We leverage our extensive industry expertise to provide audit services to both public and private entities while helping clients achieve their goals through tax, advisory, risk, and performance services. Recognized as one of the best places to work, Crowe serves clients globally as an independent member of Crowe Global, a leading global accounting network consisting of over 200 independent firms in more than 130 countries. Crowe is an equal opportunity employer 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. Crowe does not accept unsolicited resumes or referrals from staffing agencies without a signed agreement. Any submissions without pre-existing contracts will be regarded as property of Crowe and may be disregarded. Crowe considers qualified applicants, including those with criminal histories, in accordance with applicable state and local laws. If you require assistance to navigate our website or complete your application, please visit our Applicant Assistance and Accommodations page for more information.

Created: 2026-03-10