Consultant - Financial Institutions Advisory

Berkeley Research Group•Washington DC, DC

About The Position

BRG is launching a 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. This role supports or oversees workstreams across regulatory compliance, risk management, and client advisory projects, and offers the opportunity to help build a new practice within an established consulting firm. The position may be hired at the Consultant or Managing Consultant level, with title and compensation determined by qualifications and experience. Consultants work directly with senior professionals on financial institution advisory projects, develop and implement risk and compliance frameworks, assess client policies and controls, identify gaps, and recommend improvements. They plan and execute project tasks, support project administration and client communications, prepare deliverables and expert reports, and present findings. Managing Consultants additionally lead workstreams or engagements, manage budgets and client relationships, guide staff, review deliverables, and lead business development activities, training, and recruiting. Travel to client sites may be required. Candidates must be able to verify their legal right to work in the U.S. without company sponsorship.

Requirements

At least four years of relevant experience in regulatory compliance, supervision, or risk management within a financial institution, regulatory agency, or consulting firm.
Bachelor’s degree from an accredited college or university, or equivalent work experience.
Proficiency with Microsoft Office applications, particularly Excel and PowerPoint, and ability to prepare clear analyses and presentations.
Strong verbal and written communication skills, ability to work in a team environment, and ability to manage processes and more junior staff as needed.
Ability to travel to client sites as needed.
Must be able to verify legal right to work in the U.S. without company sponsorship.
For Managing Consultants: At least six years of direct experience assessing or advising on compliance with applicable SEC, FINRA, CFTC, NFA, or state regulatory requirements and expectations.
For Managing Consultants: Experience conducting risk and control assessments, developing process maps and workflows, assessing compliance with capital markets regulations, and conducting markets compliance testing and financial harm analysis.
For Managing Consultants: Project or program management experience, including planning and coordinating work, guiding staff, reviewing deliverables, and managing client communications.

Nice To Haves

Preferred experience focus on broker-dealers, investment advisers, asset or wealth management firms, swap dealers, or other capital markets businesses.
For Managing Consultants: Experience working in a regulatory agency’s enforcement or examinations division is strongly preferred.

Responsibilities

Execute financial institution advisory projects related to regulatory compliance and risk management, working directly with senior professionals.
Work across areas including supervision, governance, technology and operations enablement, and business process optimization.
Contribute to developing and implementing compliance, supervisory, operational, and regulatory risk-management frameworks and methodologies.
Assess client policies, procedures, and controls against leading practices and industry frameworks; identify design or execution gaps and recommend actionable improvements.
Plan and execute project tasks, support project administration and day-to-day client communications, and prioritize work to meet engagement goals and deadlines.
Use problem-solving, software tools, analytical methods, and computer models to develop client solutions efficiently.
Prepare client deliverables and contribute to expert reports; coordinate with engagement leads to present findings and recommendations.
Participate in practice meetings, business development initiatives, office activities, staff training, and recruiting.
For Managing Consultants: Lead development and implementation of risk-management frameworks and methodologies within engagements or workstreams.
For Managing Consultants: Plan and manage engagements or workstreams, including project administration, contracting, budget management, and client relationships.
For Managing Consultants: Delegate assignments, guide staff, monitor progress, and prioritize work to meet goals and deadlines.
For Managing Consultants: Prepare and review deliverables for completeness and accuracy, oversee contributions to expert reports, and present findings and recommendations to client management.
For Managing Consultants: Lead assigned business development activities, including proposal preparation and prospective-client presentations, and take an active role in training and recruiting.