Large Bank Capital Markets Internal Audit Senior Consultant
Crowe, Los Angeles, CA, United States
Large Bank Capital Markets Audit Senior Consultant Compliance Focus
At Crowe, you can build a meaningful and rewarding career. With real flexibility to balance work with life moments, you're trusted to deliver results and make an impact. We embrace you for who you are, care for your well-being, and nurture your career. Everyone has equitable access to opportunities for career growth and leadership. Over our 80-year history, delivering excellent service through innovation has been a core part of our DNA across our audit, tax, and consulting groups. That's why we continuously invest in innovative ideas, such as AI-enabled insights and technology-powered solutions, to enhance our services. Join us at Crowe and embark on a career where you can help shape the future of our industry. Job Description: About the Role 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. Key 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). Qualifications 35 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. Certifications in progress or interest (CPA, CIA, CFA, CAMS) a plus. We expect the candidate to uphold Crowe's values of Care, Trust, Courage, and Stewardship. These values define who we are. We expect all of our people to act ethically and with integrity at all times. The application deadline for this role is 08/31/2026. In compliance with federal law, all persons hired will be required to verify 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 account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Crowe, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $73,400.00 - $145,400.00 per year. Crowe LLP provides equal employment opportunities to all employees and applicants for employment 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, or any other characteristic protected by federal, state or local laws.
At Crowe, you can build a meaningful and rewarding career. With real flexibility to balance work with life moments, you're trusted to deliver results and make an impact. We embrace you for who you are, care for your well-being, and nurture your career. Everyone has equitable access to opportunities for career growth and leadership. Over our 80-year history, delivering excellent service through innovation has been a core part of our DNA across our audit, tax, and consulting groups. That's why we continuously invest in innovative ideas, such as AI-enabled insights and technology-powered solutions, to enhance our services. Join us at Crowe and embark on a career where you can help shape the future of our industry. Job Description: About the Role 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. Key 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). Qualifications 35 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. Certifications in progress or interest (CPA, CIA, CFA, CAMS) a plus. We expect the candidate to uphold Crowe's values of Care, Trust, Courage, and Stewardship. These values define who we are. We expect all of our people to act ethically and with integrity at all times. The application deadline for this role is 08/31/2026. In compliance with federal law, all persons hired will be required to verify 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 account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Crowe, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $73,400.00 - $145,400.00 per year. Crowe LLP provides equal employment opportunities to all employees and applicants for employment 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, or any other characteristic protected by federal, state or local laws.