Senior Consultant, Capital Markets Internal Audit
Crowe
full-time
Posted on:
Location Type: Hybrid
Location: Denver • California • Colorado • United States
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Salary
💰 $73,400 - $145,400 per year
Job Level
About the role
- 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).
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.
- Certifications in progress or interest (CPA, CIA, CFA, CAMS) a plus.
Benefits
- Comprehensive total rewards package
- Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
internal auditcompliance testingrisk controlsaudit reportingregulatory requirements
Soft Skills
analytical skillsattention to detail
Certifications
CPACIACFACAMS