Regulatory Audit Lead — Financial Services

Madison-Davis; Chicago (IL); On-site; USD 120,000 - 150,000; Full time

Job summary

Madison-Davis, LLC, a global financial services organization, seeks an experienced audit professional to lead U.S. Regulatory audit coverage across broker-dealer, FCM, and swap dealer businesses.

The role offers a base salary of $120,000–$150,000 plus a discretionary bonus and oversees the full audit lifecycle, collaborating with senior stakeholders and guiding remediation efforts. Responsibilities include developing the annual regulatory audit plan, managing scoping and fieldwork, and coaching

Qualifications

• 7+ years of internal audit experience within complex financial services organizations.
• Strong knowledge of U.S. Broker-dealer, FCM, and swap dealer regulations.
• Experience leading audits mandated by regulatory requirements.
• Strong understanding of risk-based auditing and internal control frameworks.
• Familiarity with commodities, derivatives, or cleared financial products.
• Knowledge of relevant exchange and clearinghouse requirements.
• Experience working across multiple regulated entities and jurisdictions.
• Ability to communicate complex findings clearly to senior executives.
• Strong stakeholder management and independent judgment.
• Experience reviewing audit deliverables and developing team members.

Responsibilities

• Lead regulatory audits across U.S. Financial services entities.
• Develop and maintain the annual regulatory audit plan.
• Manage audit scoping, fieldwork, reporting, and remediation validation.
• Review workpapers and reports for quality and supporting evidence.
• Evaluate controls addressing capital, customer protection, AML, and supervision.
• Update audit coverage based on regulatory changes and examination findings.
• Maintain audit risk assessments and the regulatory audit universe.
• Present findings and recommendations to senior leadership.
• Partner with Compliance, Legal, Risk, Operations, and business stakeholders.
• Coordinate with regulators, external auditors, and co-sourced providers.
• Coach audit staff and support resource planning and development.

Job description

Madison-Davis, LLC, a global financial services organization, seeks an experienced audit professional to lead U.S. Regulatory audit coverage across broker-dealer, FCM, and swap dealer businesses.

The role offers a base salary of $120,000–$150,000 plus a discretionary bonus and oversees the full audit lifecycle, collaborating with senior stakeholders and guiding remediation efforts. Responsibilities include developing the annual regulatory audit plan, managing scoping and fieldwork, and coaching