Broker Dealer Regulatory Reporting QA - Vice President
$170k - $190kMadison-Davis, LLC
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $170,000.00/yr - $190,000.00/yr Title: Regulatory Reporting Quality Assurance Vice President – Broker Dealer Office Status: Hybrid – 2x per week in office Base Salary: $170,000 – $190,000 base + bonus Overview A leading global financial institution is seeking an experienced Regulatory Reporting Quality Assurance Manager to join its specialized Quality Assurance Unit. This role offers the opportunity to act as a key line of defense for the firm’s U.S. regulatory reporting, ensuring accuracy, completeness, and timeliness of critical submissions. You’ll collaborate with stakeholders across finance, operations, technology, and audit, while driving process improvements and maintaining alignment with industry best practices. This is a high-impact role for a detail-oriented professional with deep broker dealer regulatory reporting expertise. Key Responsibilities Lead the planning and execution of the firm’s Regulatory Reporting Quality Assurance Program, with a focus on broker dealer regulatory reports (e.g., FOCUS, SSOI, OBS). Operate independently from daily reporting teams to assess accuracy, completeness, and compliance with regulatory instructions and industry expectations. Conduct risk ranking, data analysis, transaction and control testing, and conformance reviews; consolidate findings into formal QA reports. Identify, monitor, and escalate issues; track remediation efforts and validate resolution. Serve as a subject matter expert on 15c3-1 and 15c3-3 calculations, providing guidance and oversight. Collaborate with business units to recommend process and control enhancements to strengthen the reporting framework. Maintain up-to-date knowledge of U.S. regulatory requirements, reporting standards, and relevant US GAAP for financial services. Support management in preparing materials for regulatory examinations and senior management presentations. Lead special projects and initiatives within the Quality Assurance Unit as assigned. Qualifications Bachelor’s degree required; CPA, CFA, or equivalent strongly preferred. 7+ years of experience from a Big 4 consulting/audit background (broker dealer clients essential) or QA/internal audit in another bank. Expertise in broker dealer regulatory reporting, including 15c3-1 and 15c3-3. Strong understanding of financial and banking products, regulatory requirements, and US GAAP. Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Finance, Accounting/Auditing, and Quality Assurance Industries Financial Services, Accounting, and Investment Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Get notified about new Regulatory Specialist jobs in New York City Metropolitan Area . 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- ...products businesses — is looking for a Regulatory Reporting SME to join its finance team. This role... ...supporting U.S. security-based swap dealer reporting requirements for a UK-based entity... ...Provide technical expertise on SEC broker-dealer regulatory reporting requirements...Regulatory
- ...investment manager, seeks a Senior Vice President to lead Legal and Compliance for PI, its broker-dealer. You will oversee the legal and regulatory framework, focusing on FINRA compliance... ..., and oversee agreements, reporting to senior leadership. This role requires...Regulatory
NACBA
New York, NY8 hours ago $200k - $240k
...wealth management ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the nuances of private market... ...market strategies, fund structures, distribution models, and regulatory considerations. Able to manage complex relationships across...RegulatoryFull timeWork at officeRemote work- A leading financial consulting firm in New York is seeking an experienced Accounting Manager. This role involves managing regulatory reporting, financial statements compliance, and preparing detailed analyses for financial performance. The ideal candidate will have a BS...Regulatory
- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories...Regulatory
$98.78k - $121k
...philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital... ...operational tasks that ensure the accuracy and regulatory compliance of Gusto's broker/dealer... ...reconciliation and remediation, and reporting required for our broker-dealer entity....RegulatoryDaily paidFull timeWork at officeLocal area2 days per week3 days per weekGusto
New York, NY1 day ago- ...Mann is seeking a Compliance Examiner - Broker Dealer to conduct on-site and remote... ...The role emphasizes risk identification, reporting, and collaboration with the Chief Compliance... ...travel 80-90% across branches, supervising regulatory adherence and ensuring timely...RegulatoryRemote job
- ...Marex seeks a seasoned Head of Broker Dealer Compliance to lead the Americas team. You will advise U.S. Broker Dealer businesses... ...and Listed Options, navigating SEC, FINRA, OCC rules and regulatory reporting. The role emphasizes real-time advisory, risk-based guidance...Regulatory
Socket.dev
New York, NY8 hours ago $120.8k - $137.9k
...Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We... ...Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading... ...product launches. Documentation & Reporting Maintain comprehensive, audit-ready...RegulatoryFull timePart timeLocal areaCapital One
New York, NYmore than 2 months ago- ...Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to manage the accounting and regulatory filing functions. Reporting to the CEO, this role covers day-to-day accounting, financial/regulatory reporting, payroll, reconciliations...Regulatory
- ...ll make an impact in the following ways: Reporting to the Head of Pershing Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining changes... ...rate risk Liaise with Cash Management, Regulatory Reporting, Risk, and Operations, as...RegulatoryFlexible hours
$290k - $335k
...complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and... ...bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker... ...well as knowledge of various regulatory reporting requirements. The role primarily focuses...RegulatoryFull timeWorldwideMarex
New York, NY16 days ago$110k - $145k
...annual audit process.Support the drafting and review of current reports (Form 8-K) for events such as monthly subscriptions.Leverage... ...of internal controls over financial reporting to comply with regulatory requirements.Contribute to the maintenance of our SOC-1 report...RegulatoryFull timeWork at officeRemote work$180k - $260k
...Frec operates two regulated entities: a broker-dealer and a registered investment advisor.... ...Engineering to ensure the firm operates within regulatory requirements while moving at startup... ...suspicious activity monitoring and reporting. Marketing & communications review...RegulatoryRemote workFlexible hoursFrec Markets, Inc.
New York, NY3 days ago$99.4k - $142k
...: Finance The Role: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person twice a week at our... ...Compliance, Finance, Product and Engineering teams to support regulatory reporting, trade surveillance, and system enhancements Identify and...RegulatoryWork at officeRemote workFlexible hours- ...within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker... ..., preparation of financial reports and annual audited financial statements... ...and FOCUS reports as well as ancillary regulatory reporting that are required for an introducing...RegulatoryPermanent employment
ACG Consulting Group LLC
New York, NY13 days ago $110k - $145k
...RoleiCapital is looking to hire an Assistant Vice President to join the Hedge Fund Finance team.... ...all fund accounting and financial reporting to investors, including capital activity... ...general compliance with fund docs as well as regulatory filings and requirements such as SEC...RegulatoryFull timeWork at officeRemote work- ...Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to oversee day-to-day accounting, regulatory reporting and FINOP responsibilities. Reporting to the CEO, you will drive financial controls, tax filings, payroll, reconciliations...Regulatory
$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...RegulatoryImmediate start$1,000 per day
...seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across... ...relevant experience, including hands-on regulatory reporting and management of compliance tools. This is an initial...RegulatoryContract workWork at office- Gemini is seeking a Senior Associate for Trading Operations (Broker Dealer) to manage daily trade workflows, settlements, and risk... ...with Compliance, Finance, Product and Engineering to ensure regulatory reporting and system robustness. Ideal candidates bring 4+ years in...Regulatory
- ...within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker... ..., preparation of financial reports and annual audited financial statements... ...and FOCUS reports as well as ancillary regulatory reporting that are required for an introducing...RegulatoryPermanent employment
- Hold Brothers Capital, LLC is seeking a CFO/FINOP to oversee accounting and regulatory filing functions for a self-clearing broker‑dealer. The role reports to the CEO and entails hands‑on day‑to‑day accounting, financial reporting, payroll, reconciliations, tax filings,...Regulatory
- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining... .... You will handle journal entries, annual audits, and regulatory reporting, contributing to accurate financials for the NY broker-...Regulatory
- ...experience working at a Self Clearing Broker-Dealer with knowledge in Investment Banking and... ...ideal candidate will be adept at ensuring regulatory compliance, overseeing filing... ...and submission of regulatory filings and reports, ensuring accuracy and timeliness in compliance...Regulatory
ACG Consulting Group LLC
New York, NY13 days ago - ...Marex in New York seeks a Head of Broker Dealer Compliance to lead a team responsible for the Americas Broker Dealer advisory services... ...Listed Options with emphasis on real-time guidance and regulatory reporting. You will partner with business leaders to ensure...Regulatory
Marex
New York, NY8 hours ago - ...and fast-growing New York Self Clearing Broker-Dealer seeks an experienced Chief Risk Officer... ...teams. Progress on issues will be reported out to Alpaca leadership on at least a... ...ability to adapt to a changing business and regulatory environment. ~ Must be able to handle...RegulatoryRemote work
ACG Texas
New York, NY4 days ago - Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage... ...-to-day accounting under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include...RegulatoryRemote job
- MUFG Americas seeks a Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) in New York, NY. The role leads regulatory engagement, licensing governance, and reporting programs across the U.S. broker-dealer, ensuring compliance with FINRA, SEC...RegulatoryWork at office
$115k - $180k
....Position ResponsibilitiesTreasury is seeking a Vice President (or Assistant Vice President), Treasury Reporting & Analytics to design, build and scale the team’... ...Firm’s investments. Leverages knowledge of the regulatory environment, governing documents and internal policies...RegulatoryFull timeTemporary workWork at office
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