Broker Dealer Regulatory Reporting QA - Vice President

Madison-Davis, LLC; New York (NY); Hybrid; USD 170,000 - 190,000; Full time

Job summary

A leading global financial institution is seeking a Regulatory Reporting Quality Assurance Vice President to ensure accuracy and compliance in regulatory submissions. The ideal candidate will have 7+ years of experience and strong expertise in broker dealer reporting. This role is hybrid, requiring 2 days a week in the office and offers a base salary range of $170,000 to $190,000 plus bonus.

Qualifications

• Bachelor’s degree required; CPA, CFA, or equivalent strongly preferred.
• 7+ years of experience from a Big 4 consulting/audit background.
• Expertise in broker dealer regulatory reporting, including 15c3-1 and 15c3-3.

Responsibilities

• Lead the planning and execution of the firm’s Regulatory Reporting Quality Assurance Program.
• Conduct risk ranking, data analysis, transaction and control testing.
• Collaborate with business units to recommend process enhancements.

Skills

Broker dealer regulatory reporting expertise

Risk assessment

Data analysis

Control testing

Education

Bachelor’s degree

CPA, CFA, or equivalent

Job description

Broker Dealer Regulatory Reporting QA - Vice President

Broker Dealer Regulatory Reporting QA - Vice President

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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

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