Associate Director - Financial Institutions 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

We Do Consulting Differently Associate Director - Financial Institution Advisory We Do Consulting Differently BRG is launching a new capital markets group within its Financial Institutions Advisory practice that will focus on helping financial institutions, including broker-dealers, investment advisers, swap dealers, and other capital markets participants, solve pressing business, regulatory, and compliance issues. The group includes former regulators, compliance experts, financial modelers, technologists, and former industry professionals, that advise clients with immediate risks to drive tangible benefits. BRG is currently seeking an Associate Director to lead complex regulatory and compliance engagements across a range of client advisory projects within the capital markets sector. This is an opportunity to help build a new practice within an established, global consulting firm. We are looking for senior professionals who are eager to leverage their experience in the financial services industry, with specific emphasis on candidates who have prior experience at the Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) in the Division of Enforcement or Examinations.

Responsibilities

• Lead and execute financial institution advisory projects related to regulatory compliance and risk management.
• Functional areas of work include, but are not limited to, 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 preparation of RFP responses and prospective-client presentations, and 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.

Required Qualifications

• Bachelor’s degree from an accredited college or university, or equivalent work experience.
• Minimum of ten (10) years of experience in regulatory compliance, supervision, or risk management within a financial institution, regulatory agency, or a consulting or other professional services firm.
• Preferred focus on broker-dealers, investment advisers, asset or wealth management firms, swap dealers, or other capital markets businesses.
• Working knowledge of the 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 under 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, work effectively in a team environment, and travel to client sites as engagement needs require.

Preferred Qualifications

• Minimum of eight (8) years of direct experience assessing or advising on compliance with applicable SEC, FINRA, CFTC, NFA, or state regulatory requirements and expectations, with a strong preference for candidates who have worked in a regulatory agency’s enforcement or examinations division.
• 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, together with a record of developing new work.
• Advanced degree or relevant professional certification.

Associate Director Salary Range

Salary: $190,000 - $240,000 per year

Job title and compensation to be determined based on qualifications and experience.

Candidate must be able to submit verification of his/her legal right to work in the U.S., without company sponsorship.

About BRG

BRG combines world-leading academic credentials with world-tested business expertise and purpose-built emerging technologies. Our culture centers on agility and connectivity which sets us apart and gets you ahead. At BRG, our professionals include specialist consultants, industry experts, renowned academics, and leading-edge data scientists. Together, they bring a diversity of real-world experience, data, and human and artificial intelligence, to economics, disputes, and investigations; corporate finance; and performance improvement services that address the most complex challenges facing organizations across the globe. Our unique structure nurtures the interdisciplinary relationships that give us the edge, laying the groundwork for more informed insights and more original, incisive thinking. When paired with our global reach and resources, our diverse perspectives and technical capabilities make us uniquely capable to address our clients’ challenges. We get results because we know how to apply our thinking to your world. At BRG, we don't just show you what’s possible. We're built to help you make it happen.

BRG is proud to be an Equal Opportunity Employer. Our hiring practices provide equal opportunity for employment without regard to race, religion, color, sex, gender, national origin, age, United States military veteran status, ancestry, sexual orientation, marital status, family structure, medical condition including genetic characteristics or information, veteran status, or mental or physical disability so long as the essential functions of the job can be performed with or without reasonable accommodation, or any other protected category under federal, state, or local law.

We do Consulting Differently It takes more than top-tier people. It takes top-tier people grounded in real-world expertise, working together in the right ways. This is BRG. Purpose-built for the agility and connectivity that sets us apart- we bring the best data, brightest talent, and boldest thinking to all that we do. With the crucial added ingredient of our real-world business acumen, we translate insights into action.

BRG is proud to be an Equal Opportunity Employer. Our hiring practices provide equal opportunity for employment without regard to race, religion, color, sex, gender, national origin, age, United States military veteran status, ancestry, sexual orientation, marital status, family structure, medical condition including genetic characteristics or information, veteran status, or mental or physical disability so long as the essential functions of the job can be performed with or without reasonable accommodation, or any other protected category under federal, state, or local law.

If you need reasonable accommodation for any part of the employment process, please contact us by email at [e-mail] and let us know the nature of your request and your contact information. Requests for Website Accessibility and Required Information for Online Applicant Tracking Systems accommodation will be considered on a case-by-case basis. Please note that only inquiries concerning a request for reasonable accommodation will be responded to from this email address.