Capital Markets Compliance & Risk Advisory Consultant

BRG; New York (NY); Vor Ort; USD 115.000 - 190.000; Vollzeit

Zusammenfassung

BRG is launching a new capital markets group within its Financial Institutions Advisory practice to help financial institutions solve regulatory and compliance challenges. The role spans consultant to managing consultant, overseeing engagement workstreams and developing risk-management frameworks across client engagements.

Candidates should have 4+ years in regulatory compliance and strong communication skills, with 6+ years preferred for senior roles; travel to client sites is expected as

Qualifikationen

• 4+ years of regulatory compliance, supervision, or risk management experience in financial institutions, regulatory agencies, or consulting firms.
• Bachelor’s degree from an accredited college or university, or equivalent work experience.
• Proficiency with Microsoft Office applications, particularly Excel and PowerPoint, and the ability to prepare clear analyses and presentations.
• Strong verbal and written communication skills, desire to work within a team environment, and ability to manage processes and other more junior staff, as necessary.
• Ability to travel to client sites as needed.
• Minimum of six (6) years of direct experience assessing or advising on SEC, FINRA, CFTC, NFA, or state regulatory requirements, with preference for regulators/examinations backgrounds.
• Experience conducting risk and control assessments, process mapping, capital markets regulatory compliance, and markets compliance testing.

Aufgaben

• Work directly with senior professionals to execute financial institution advisory projects related to regulatory compliance and risk management.
• Contribute to the development and implementation of frameworks and methodologies for compliance, supervisory, operational, and regulatory risk management programs.
• Assess client policies, procedures, and controls against leading practices and industry frameworks with actionable recommendations.
• Plan and execute assigned project tasks and support project administration and day-to-day client communications.
• Apply analytical methods and software tools to develop client solutions and prepare deliverables.
• Participate in practice meetings, business development initiatives, and staff recruiting.
• Lead the development and implementation of risk-management frameworks within engagements and manage client relationships.
• Plan and manage client engagements, including budgeting and contracting, for varying engagement sizes.
• Oversee staff, review deliverables, and present findings to client management, while leading business development activities.

Kenntnisse

Microsoft Excel

PowerPoint

Verbal communication

Written communication

Team collaboration

Regulatory knowledge

Analytical ability

Ausbildung

Bachelor’s degree

Equivalent work experience

Tools

Microsoft Office

Jobbeschreibung

BRG is launching a new capital markets group within its Financial Institutions Advisory practice to help financial institutions solve regulatory and compliance challenges. The role spans consultant to managing consultant, overseeing engagement workstreams and developing risk-management frameworks across client engagements.

Candidates should have 4+ years in regulatory compliance and strong communication skills, with 6+ years preferred for senior roles; travel to client sites is expected as