Associate Director, Capital Markets Regulatory Advisory

LE001 Berkeley Research Group, LLC; Washington (District of Columbia); On-site; USD 190,000 - 240,000; Full time

Job summary

BRG seeks an Associate Director to lead complex regulatory and compliance engagements across its Capital Markets practice. The role will focus on helping financial institutions navigate regulatory and governance challenges, with collaboration across risk, investigations, economics, finance, data, and performance improvement teams.

The candidate should have a decade of experience in regulatory compliance and a proven ability to manage large, cross-functional projects, often involving regulatory

Qualifications

• Bachelor’s degree or equivalent work experience.
• Ten+ years in regulatory compliance, supervision, or risk management in financial institutions.
• Experience with broker-dealers, investment advisers, asset or wealth management, or market participants preferred.
• Ability to lead complex projects, manage teams, and deliver high-quality work on schedule and budget.

Responsibilities

• Lead and execute regulatory compliance and risk management advisory projects.
• Address governance, supervision, technology, operations enablement, and process optimization.
• Advise on licensing, target operating models, staffing, and policies and controls.
• Develop and implement frameworks for compliance and regulatory risk management programs.
• Prepare clients for regulatory examinations and enforcement matters with mock exams and remediation plans.
• Contribute to proposals, thought leadership, and market eminence activities.
• Lead business development activities, including RFP responses and client presentations.
• Collaborate with BRG professionals across risk, investigations, economics, finance, data, and performance improvement.

Skills

Regulatory compliance

Risk management

Leadership

Project management

Communication skills

FINRA/SEC background

Education

Bachelor’s degree

Advanced degree or professional certification

Job description

BRG seeks an Associate Director to lead complex regulatory and compliance engagements across its Capital Markets practice. The role will focus on helping financial institutions navigate regulatory and governance challenges, with collaboration across risk, investigations, economics, finance, data, and performance improvement teams.

The candidate should have a decade of experience in regulatory compliance and a proven ability to manage large, cross-functional projects, often involving regulatory