Associate Director - Financial Institutions Advisory

Berkeley Research Group • Washington DC, DC

21h

About The Position

BRG is launching a new capital markets group within its Financial Institutions Advisory practice to help financial institutions and other capital markets participants address business, regulatory, and compliance issues. The group brings together former regulators, compliance experts, financial modelers, technologists, and industry professionals to advise clients on immediate risks and deliver tangible benefits.

BRG is seeking an Associate Director to lead complex regulatory and compliance engagements across capital markets advisory projects. The role offers the opportunity to help build a new practice within an established global consulting firm. Candidates should bring senior financial services experience, with particular emphasis on prior experience at FINRA or the SEC’s Division of Enforcement or Examinations. The position may require travel to client sites as engagement needs require. Candidates must be able to verify their legal right to work in the United States without company sponsorship.

Requirements

• Bachelor’s degree from an accredited college or university, or equivalent work experience.
• At least 10 years of experience in regulatory compliance, supervision, or risk management within a financial institution, regulatory agency, consulting firm, or other professional services firm.
• Working knowledge of regulatory and supervisory requirements applicable to one or more markets-regulated entity types.
• Experience leading complex projects or workstreams, managing teams, and delivering high-quality work within time and budget constraints.
• Ability to assess regulatory requirements, identify practical implications, and communicate recommendations to senior business, legal, compliance, and board audiences.
• Strong verbal and written communication skills, sound judgment, and careful attention to detail.
• Ability to manage competing priorities and work effectively in a team environment.
• Ability to travel to client sites as engagement needs require.
• Ability to submit verification of legal right to work in the United States without company sponsorship.

Nice To Haves

• Experience focused on broker-dealers, investment advisers, asset or wealth management firms, swap dealers, or other capital markets businesses.
• At least eight years of direct experience assessing or advising on compliance with applicable SEC, FINRA, CFTC, NFA, or state regulatory requirements and expectations.
• Prior work in a regulatory agency’s enforcement or examinations division, strongly preferred.
• Experience designing or evaluating written supervisory procedures, compliance testing and monitoring, governance arrangements, risk assessments, or regulatory change programs.
• Knowledge of securities, derivatives, structured products, digital assets, or related trading and market activities.
• Established relationships within financial institutions, regulatory bodies, or the markets compliance community, and a record of developing new work.
• Advanced degree or relevant professional certification.

Responsibilities

• Lead and execute financial institution advisory projects related to regulatory compliance and risk management, including work involving supervision, governance, technology and operations enablement, and business process optimization.
• Advise clients on licensing and registration, target operating models, staffing assessments, and the design and implementation of policies, procedures, and controls.
• Develop and implement frameworks and methodologies for compliance, supervisory, operational, and regulatory risk management programs.
• Prepare clients for regulatory examinations and enforcement matters through mock examinations, response strategies, remediation planning, and implementation support.
• Build trusted client relationships, identify additional ways BRG can assist, and contribute to proposals, thought leadership, and other market eminence activities.
• Lead business development activities, including preparing RFP responses and prospective-client presentations.
• Take a leadership role in staff training and recruiting.
• Collaborate with BRG professionals across risk, investigations, economics, corporate finance, data, and performance improvement when a client matter requires a multidisciplinary response.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior