Senior Auditor - Capital Markets

Selby Jennings; New York (NY); On-site; USD 100,000 - 160,000; Full time

Job summary

Selby Jennings in New York is seeking an experienced auditor to join its Capital Markets & Operations Audit team. You will lead audits across broker-dealer activities, securities processing, and custody services while partnering with senior stakeholders to strengthen controls.

The role sits in a high-visibility function, requiring rigorous risk assessment and proactive issue validation to support evolving business initiatives.

Qualifications

• 7+ years of experience in internal audit, risk management, or related control functions.
• Deep understanding of broker-dealer operations and end-to-end trade lifecycle.
• Experience with clearing, settlement, custody, and securities processing.
• Knowledge of financial services regulations affecting capital markets.
• Ability to assess complex risks and controls in large institutions.
• Strong analytical, communication, and stakeholder-management skills.
• Certifications such as CIA, CPA, or CISA preferred.

Responsibilities

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

Skills

Internal audit

Risk management

Regulatory knowledge

Broker-dealer ops

Trade lifecycle

Analytical skills

Communication

Stakeholder management

Certifications: CIA/CPA/CISA

Education

CIA, CPA, or CISA certification

Job description

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