Senior Auditor Capital Markets

Title: Senior Auditor - Capital Markets

Salary: $100,000 to $160,000 base + bonus

Company Summary:

A leading financial institution is seeking an experienced auditor to join its Capital Markets & Operations Audit team. This role offers exposure across broker-dealer activities, securities processing, clearing and settlement, custody services, and broader trade lifecycle functions.

This position sits within a highly visible audit function and partners closely with senior stakeholders across the business, risk, compliance, and operations teams to assess key risks, strengthen control environments, and support evolving business initiatives.

Responsibilities:

• Lead and execute audit engagements across capital markets, operations, and securities services businesses
• Assess risks and controls related to broker-dealer activities, trading, clearing, settlement, and custody operations
• Evaluate control environments and identify opportunities for enhanced risk management
• Partner with business and control stakeholders throughout audit engagements
• Support continuous monitoring activities and identify emerging risks
• Perform issue validation and remediation testing to ensure sustainable corrective actions
• Contribute to audit planning and risk assessments across covered business areas

Qualifications:

• 7+ years of experience within Internal Audit, Risk Management, Compliance, or a related control function
• Strong understanding of broker-dealer operations and the end-to-end trade lifecycle
• Experience covering clearing, settlement, custody, securities processing, or related operational functions
• Knowledge of regulatory frameworks affecting financial services and capital markets businesses
• Ability to assess complex risks and control environments within large financial institutions
• Strong analytical, communication, and stakeholder management skills
• CIA, CPA, CISA, or similar certification preferred