Capital Markets Auditor

The Capital Markets Auditor will be responsible for evaluating the design and effectiveness of internal controls supporting the firm's capital markets businesses, including trading, sales, investment banking, and other front-to-back processes. The ideal candidate will have a strong understanding of capital markets products, trade lifecycle, regulatory frameworks, and risk management practices.

Client Details

Our client is a Financial Services firm.

Description

• Plan and execute risk-based audits across capital markets functions (e.g., equities, fixed income, derivatives, structured products).
• Assess the effectiveness of key controls in trading, operations, risk management, and compliance areas.
• Evaluate compliance with regulatory requirements such as Dodd-Frank, Volcker Rule, Basel III, and SEC/FINRA regulations.
• Review end-to-end trade flow and perform testing of systems and processes across front, middle, and back office.
• Prepare high-quality audit reports with clear findings, root causes, and practical recommendations.
• Engage with senior stakeholders to communicate audit results and track remediation progress.
• Stay informed of emerging risks, industry trends, and regulatory developments in capital markets.

Profile

• Bachelor's degree in Accounting, Finance, Economics or a related field; advanced degree would be a plus.
• 4-10 years of Capital Markets Audit experience
• Professional certifications such as CPA, CIA, or FRM are preferred but not required.
• Excellent analytical, communication, and report-writing skills.

Job Offer

• PENSION PLAN + 401K Match
• 3 days to work from home per week
• Possibility for tuition reimbursement
• Competitive medical benefits

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.