Senior Auditor, Capital Markets & Broker-Dealer Risk
Us Bank
U.S. Bank is seeking a Senior Auditor within Corporate Audit Services to support independent assurance across Capital Markets and broker-dealer activities. You will assist with risk assessments, planning, and control testing in a regulated financial services environment. The role emphasizes developing audit proficiency, understanding Capital Markets products, and delivering timely, high-quality audit results. Collaboration with risk, compliance, and business teams is essential. #J-18808-Ljbffr Us Bank
$104.55k - $123k
...Job DescriptionU.S. Bank’s Capital Markets platform serves institutional... ...corporate clients through broker-dealer and related operating... ...Hong Kong, and Singapore.The Senior Auditor within Corporate Audit Services... ...and improve U.S. Bancorp’s risk management, control, and...SeniorRiskFull timeWork experience placementLocal area3 days per week$100k - $160k
...institution is seeking an experienced auditor to join its Capital Markets & Operations Audit team. This role offers exposure across broker-dealer activities, securities... ...and partners closely with senior stakeholders across the business, risk, compliance, and operations teams...SeniorRisk- ...is seeking an experienced auditor to join its Capital Markets & Operations Audit team. You... ...will lead audits across broker-dealer activities, securities processing... ...while partnering with senior stakeholders to strengthen... ..., requiring rigorous risk assessment and proactive issue...SeniorRisk
- ...OTC Markets Group is seeking an Assistant General Counsel to support capital markets, broker-dealer operations, and FinTech initiatives. The role reports to the Deputy General Counsel and engages regulators, policy makers, and business units across the company. The...SuggestedWork at officeRemote work
- ...Senior Vice President, US Treasury Business Manager, Capital Markets & Prime Brokerage About the Company A well-established and rapidly growing global financial... ...partner effectively with front office, finance, risk, and compliance functions, and who is ready to take...SeniorRisk
$150k - $225k
Vice President, Independent Broker Dealer (IBD) Channel Marketing Manager page is loaded## Vice President, Independent... ...markets. We invest our clients’ capital across a range of fixed income and... ...and investors who seek strong risk-adjusted returns.Since 1971, our people...RiskFlexible hours- Confidential is seeking a Senior Internal Audit Manager to partner with Internal Audit leadership in assessing governance, risk management, and control effectiveness across capital markets and related financial services operations. The role leads risk-based audits, develops...SeniorRisk
$200k - $235k
...environment. Job Description As a Senior Manager supporting our AI Transformation... ...specializing in Agentic AI within banking and capital markets, this role will lead client engagements... ..., data science, IT infrastructure, risk, and compliance. ~ AI Governance, Risk...SeniorRiskFull timeWork at officeImmediate startWorldwide3 days per week- U.S. Bank is seeking a Senior Auditor within Corporate Audit Services to support risk assessment, control testing, and reporting for Capital Markets and broker-dealer activities across multiple regions. You will partner with risk, compliance, operations, technology, and...Risk
- ...Citigroup Inc. in New York, NY seeks a senior Equity Capital Markets Banker to advise clients on capital raises and strategic advisory services for... ...deal execution, mentoring juniors, and maintaining risk-compliant client strategies. #J-18808-Ljbffr Jobleads-USSeniorRisk
- ...looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets... ...record of directing and deploying staff and senior associates on multiple, simultaneous...
$99.4k - $142k
...The Department: Finance The Role: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person... ...operational procedures and risk controls are followed and properly... ...experience, job scope, and current market data. In the United States, we offer...SeniorRiskWork at officeRemote workFlexible hours- BNY is seeking a Senior Vice President of Segment Marketing for the Banks & Broker Dealers segment, located in New York, NY. The role drives the overall marketing strategy across global and regional priorities, shaping segment positioning and value propositions to deepen...Senior
- ...PayPal seeks a seasoned capital markets attorney to join its Legal team. The role supports consumer lending and credit products including BNPL... ...President, Consumer Financial Services Legal, this role provides strategic guidance, manages risk, #J-18808-Ljbffr Jobleads-USSeniorRisk
$132.26k - $155.6k
...all from Day One.Job DescriptionThe Senior Audit Project Manager within... ...evaluate and improve U.S. Bancorp’s (USB) risk management, control, and governance... ...dedicated audit coverage for Capital Markets and institutional broker-dealer activities, partnering with risk, compliance...SeniorRiskFull timeWork experience placementLocal area3 days per week$150k - $200k
# Senior Associate/Vice President, Capital Markets - Quantitative & Structured SolutionsJordan Park GroupSenior AssociateFamily OfficeFull-timeLocationNew York... ...discussions on concentrated positions, liquidity, and risk management, and translating technical strategies into...SeniorRiskWork at office- A leading assurance firm in New York is seeking an Assurance Manager for its Capital markets practice. The role involves serving broker dealer clients and leading assurance teams. Candidates should have a BS/BA in Accounting, CPA or CA certification, and a strong background...
- As a Senior Product Associate on the Global Investment Banking Digital team, you will build and optimize digital products that Capital Markets bankers rely on to serve clients and execute deals. Working... ...advice, capital raising and risk management expertise. Full timePosting...SeniorRiskWork at office
- ...Director) to lead client engagements in capital markets, provide strategic advisory for M&A, and... ...with Institutional Banking teams. This senior role emphasizes building a pipeline of episodic... ...bankers, and ensuring solutions meet risk, ethics, and regulatory standards. You...SeniorRisk
$230k - $297.5k
...complex commercial transactional work, supporting Circle's global capital markets business — including crypto exchanges, digital asset market... ...and USYC tokenized collateral transactions — addressing legal risk in business-centric ways with the goal of strengthening...SeniorRiskContract workImmediate startFlexible hours- ...travel as required to meet business needs. Responsibilities Lead Capital Markets transformation initiatives across front, middle, and back‑... ...process digitization, workflow tools, RPA, and operational risk/control enhancements. Lead end‑to‑end project delivery, including...SeniorRisk
- ...yourself, your career, and the financial world.The roleAs a Senior Manager within our Capital Markets Team, you will be the execution lead and central... ...dependencies. Strategic Problem Solving: Identify execution risks and operational bottlenecks and design and implement...SeniorRiskWork at officeRemote workShift work
- Global Banking and Markets Global Banking and Markets... ...is a leading Canadian Capital Markets and Investment... ...investment banking, credit and risk management products and... ...weaknesses. The Auditor contributes to the overall... ...the Managers and Senior Managers, US Capital Markets...SeniorRiskLocal areaFlexible hours
$225k
Job DescriptionFX eTrading Senior Developer, RBC Capital Markets, LLC, New York, NY: Develop and enhance the FX business high volume, low latency automated... ...; * FX or Rates front office technology (pricing, risk, liquidity aggregation, high-frequency trading or ecommerce...SeniorRiskFull timeWork experience placementMonday to Friday$157k - $210k
...Learn more at .About the RoleCoreWeave is seeking a dynamic Senior Counsel, Capital Markets, to join our Legal and Government Affairs team. If hired,... ...to detail under time pressure.Ability to balance legal risk mitigation against key business objectives and risks.Ability...SeniorRiskPermanent employmentFull timeTemporary workCasual workWork at officeFlexible hours$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer & RIA... ...scale with accuracy while reducing risk. And we're team-focused — we... ...expert on new product developments, marketing initiatives, and engineering projects...SeniorRiskPermanent employmentRemote workFlexible hours$119k - $218.3k
Position Summary Senior Consultant - Capital Markets Surveillance Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive... ...markets industries: investment banking, broker-dealer, prime brokerage, wealth management, or...SeniorRiskWork at office- ...industry-standard oracle platform bringing the capital markets onchain and powering the majority of... ...more at chain.link.About The RoleAs a Senior Solutions Engineer, you will play a... ...with compliance, audit, and operational risk requirementsSolidity development: writing...SeniorRiskRemote work
- ...BNY Mellon is seeking a senior Legal Advisor to support regulatory, risk and compliance matters for fixed income and equity trading. You will draft, review and negotiate contracts; advise on new markets and products; and collaborate with Compliance, Credit, Risk and...SeniorRisk
- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry... ...compliance, enforcement defense, and legal risks impacting brokerage and investment advisory activities...SeniorRisk
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