Madison-Davis, LLC
Broker Dealer Regulatory Reporting - Vice President
Madison-Davis, LLC, Jersey City, New Jersey, United States, 07390
Broker Dealer Regulatory Reporting - Vice President
Broker Dealer Regulatory Reporting - Vice President
1 day ago Be among the first 25 applicants 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
$115,000.00/yr - $190,000.00/yr Title:
Broker Dealer Regulatory Reporting - Vice President Office Status:
Hybrid 4x a week in office Base Salary:
$115,000 to $195,000 Overview A global financial institution with a strong presence in the Americas is seeking a
Broker Dealer Regulatory Reporter
to join its second-line control function. This highly visible role is responsible for ensuring the quality, accuracy, and effectiveness of financial and regulatory reporting controls across multiple business lines, including investment banking and prime brokerage. The position offers the opportunity to lead high-impact control reviews, engage directly with senior management, and contribute to strategic process improvements within a complex, fast-paced financial environment. The team is lean and the plan is for this VP to assist in the build out of the Broker Dealer Regulatory Reporting function in the US. Key Responsibilities Perform second-line control reviews over financial and regulatory reporting processes under SEC, FINRA, and CFTC rules, including SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, and CFTC Segregation requirements. Map regulatory rules to existing controls, identify control design gaps, and conduct walkthroughs and testing to assess control effectiveness. Lead assigned staff on control review projects, setting clear objectives, managing timelines and budgets, and providing feedback. Stay current on relevant regulations, industry developments, and emerging risks, assessing their impact on the organizations control framework. Represent the Finance Controls team with senior management and external auditors, coordinating remediation of audit findings. Collaborate with stakeholders across Front Office, Middle Office, Back Office, Risk, and Finance to assess end-to-end control processes from transaction input to reporting. Drive automation and process efficiency within the control function using business intelligence tools (e.g., Alteryx, Knime, PowerBI, Spotfire). Mentor and guide junior team members, supporting their professional development. Contribute to longer-term departmental goals and strategic initiatives. Qualifications 8+ years of experience in regulatory examination, regulatory reporting, financial control, or a related field within the banking/financial industry. Strong knowledge of SEC and FINRA regulatory reporting requirements (e.g., SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg). Understanding of financial markets, investment products, and financial product accounting flows under US GAAP and IFRS. Series 27 license or CPA a plus. Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Accounting/Auditing, Finance, and Quality Assurance Industries
Banking, Financial Services, and Accounting Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Sign in to set job alerts for Regulatory Specialist roles.
Regulatory Affairs Specialist - Quality/Regulatory
Totowa, NJ $60,000.00-$65,000.00 3 weeks ago Morris County, NJ $80,000.00-$100,000.00 3 weeks ago New York, NY $90,000.00-$137,000.00 1 week ago Clerical Associate - Administrative Law & Regulatory Litigation
Food Safety & Regulatory Compliance Specialist
Cranford, NJ $60,000.00-$80,000.00 12 hours ago New York City Metropolitan Area $40.00-$45.00 1 week ago Regulatory Affairs Supervisor - Cosmetics & Skincare
Totowa, NJ $67,000.00-$72,000.00 6 days ago Norwood, NJ $70,000.00-$75,000.00 5 days ago New York, NY $127,000.00-$150,000.00 1 day ago New York, NY $68,000.00-$74,000.00 6 days ago Morristown, NJ $77,000.00-$87,000.00 4 days ago Bronx, NY $75,000.00-$75,000.00 2 months ago Bronx, NY $150,000.00-$170,000.00 5 days ago AVP, Regulatory Affairs Specialist (Branch Inspection)
New York, NY $130,000.00-$145,000.00 6 days ago Regulatory Affairs Manager - Medical Device
New York City Metropolitan Area $101,000.00-$130,000.00 1 week ago Bronx, NY $160,000.00-$180,000.00 3 weeks ago New York, NY $225,000.00-$225,000.00 3 months ago Madison, NJ $115,000.00-$140,000.00 2 weeks ago Office of Regulatory Relations, Bank Regulatory Engagement, Associate, New York
New York City Metropolitan Area $45,000.00-$60,000.00 2 weeks ago Legal and Compliance Department - Consumer and Regulatory Compliance Team Intern
Medical Devices, Regulatory Affairs Lead
New York, NY $143,000.00-$200,000.00 1 week ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr
Broker Dealer Regulatory Reporting - Vice President
1 day ago Be among the first 25 applicants 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
$115,000.00/yr - $190,000.00/yr Title:
Broker Dealer Regulatory Reporting - Vice President Office Status:
Hybrid 4x a week in office Base Salary:
$115,000 to $195,000 Overview A global financial institution with a strong presence in the Americas is seeking a
Broker Dealer Regulatory Reporter
to join its second-line control function. This highly visible role is responsible for ensuring the quality, accuracy, and effectiveness of financial and regulatory reporting controls across multiple business lines, including investment banking and prime brokerage. The position offers the opportunity to lead high-impact control reviews, engage directly with senior management, and contribute to strategic process improvements within a complex, fast-paced financial environment. The team is lean and the plan is for this VP to assist in the build out of the Broker Dealer Regulatory Reporting function in the US. Key Responsibilities Perform second-line control reviews over financial and regulatory reporting processes under SEC, FINRA, and CFTC rules, including SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, and CFTC Segregation requirements. Map regulatory rules to existing controls, identify control design gaps, and conduct walkthroughs and testing to assess control effectiveness. Lead assigned staff on control review projects, setting clear objectives, managing timelines and budgets, and providing feedback. Stay current on relevant regulations, industry developments, and emerging risks, assessing their impact on the organizations control framework. Represent the Finance Controls team with senior management and external auditors, coordinating remediation of audit findings. Collaborate with stakeholders across Front Office, Middle Office, Back Office, Risk, and Finance to assess end-to-end control processes from transaction input to reporting. Drive automation and process efficiency within the control function using business intelligence tools (e.g., Alteryx, Knime, PowerBI, Spotfire). Mentor and guide junior team members, supporting their professional development. Contribute to longer-term departmental goals and strategic initiatives. Qualifications 8+ years of experience in regulatory examination, regulatory reporting, financial control, or a related field within the banking/financial industry. Strong knowledge of SEC and FINRA regulatory reporting requirements (e.g., SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg). Understanding of financial markets, investment products, and financial product accounting flows under US GAAP and IFRS. Series 27 license or CPA a plus. Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Accounting/Auditing, Finance, and Quality Assurance Industries
Banking, Financial Services, and Accounting Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Sign in to set job alerts for Regulatory Specialist roles.
Regulatory Affairs Specialist - Quality/Regulatory
Totowa, NJ $60,000.00-$65,000.00 3 weeks ago Morris County, NJ $80,000.00-$100,000.00 3 weeks ago New York, NY $90,000.00-$137,000.00 1 week ago Clerical Associate - Administrative Law & Regulatory Litigation
Food Safety & Regulatory Compliance Specialist
Cranford, NJ $60,000.00-$80,000.00 12 hours ago New York City Metropolitan Area $40.00-$45.00 1 week ago Regulatory Affairs Supervisor - Cosmetics & Skincare
Totowa, NJ $67,000.00-$72,000.00 6 days ago Norwood, NJ $70,000.00-$75,000.00 5 days ago New York, NY $127,000.00-$150,000.00 1 day ago New York, NY $68,000.00-$74,000.00 6 days ago Morristown, NJ $77,000.00-$87,000.00 4 days ago Bronx, NY $75,000.00-$75,000.00 2 months ago Bronx, NY $150,000.00-$170,000.00 5 days ago AVP, Regulatory Affairs Specialist (Branch Inspection)
New York, NY $130,000.00-$145,000.00 6 days ago Regulatory Affairs Manager - Medical Device
New York City Metropolitan Area $101,000.00-$130,000.00 1 week ago Bronx, NY $160,000.00-$180,000.00 3 weeks ago New York, NY $225,000.00-$225,000.00 3 months ago Madison, NJ $115,000.00-$140,000.00 2 weeks ago Office of Regulatory Relations, Bank Regulatory Engagement, Associate, New York
New York City Metropolitan Area $45,000.00-$60,000.00 2 weeks ago Legal and Compliance Department - Consumer and Regulatory Compliance Team Intern
Medical Devices, Regulatory Affairs Lead
New York, NY $143,000.00-$200,000.00 1 week ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr