Large Bank Capital Markets Internal Audit Senior Consultant

Crowe LLP • Dallas, TX

4d • $74,100 - $147,800

About The Position

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.

Requirements

• 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.

Nice To Haves

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

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).

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed