Associate Director, Regulatory Capital Markets Advisory

Berkeley Research Group, LLC; Washington (District of Columbia); Vor Ort; USD 190.000 - 240.000; Vollzeit

Zusammenfassung

BRG is seeking an Associate Director to lead complex regulatory and compliance engagements within the Financial Institutions Advisory practice. The role covers capital markets clients, broker-dealers, investment advisers, and regulatory matters, leveraging experience at FINRA or SEC.

Based in Washington, DC or New York, you will guide projects, develop frameworks, mentor teams, and expand client relationships, travel as needed, and contribute to proposals and thought leadership.

Qualifikationen

• Bachelor’s degree or equivalent work experience.
• 10+ years in regulatory compliance, supervision, or risk management in financial services.
• Knowledge of regulatory/supervisory requirements across market-regulated entities.
• Experience leading complex projects and teams under time and budget constraints.
• Ability to assess regulatory requirements and communicate recommendations to senior audiences.
• Strong verbal and written communication, sound judgment, attention to detail.
• Ability to manage priorities, work in a team, and travel to client sites.

Aufgaben

• Lead and execute financial institution advisory projects related to regulatory compliance and risk management across supervision, governance, technology and operations enablement, and process optimization.
• Advise clients on licensing, target operating models, staffing, and policy/procedure design and implementation.
• Develop and implement frameworks for compliance and regulatory risk programs.
• Prepare clients for regulatory examinations and enforcement matters through mock exams and remediation planning.
• Build client relationships and contribute to proposals, thought leadership, and market eminence activities.
• Lead business development activities, including RFP responses and client presentations, and mentor staff.
• Collaborate with BRG professionals across risk, investigations, economics, corporate finance, data, and performance improvement.

Kenntnisse

Regulatory compliance experience

Project leadership

Communication skills

Team management

Travel willingness

Ausbildung

Bachelor’s degree

Jobbeschreibung

BRG is seeking an Associate Director to lead complex regulatory and compliance engagements within the Financial Institutions Advisory practice. The role covers capital markets clients, broker-dealers, investment advisers, and regulatory matters, leveraging experience at FINRA or SEC.

Based in Washington, DC or New York, you will guide projects, develop frameworks, mentor teams, and expand client relationships, travel as needed, and contribute to proposals and thought leadership.