Senior Associate Director – Financial Institutions Advisory

Thinkbrg; Washington (District of Columbia); On-site; USD 190,000 - 240,000; Full time

Job summary

BRG is launching a new capital markets group within its Financial Institutions Advisory practice and seeks an Associate Director to lead regulatory compliance engagements for financial institutions. The role focuses on complex projects across supervision, governance, technology enablement, and risk management.

Ideal candidates have 10+ years in regulatory compliance within financial services and are familiar with FINRA/SEC environments, with strong leadership, communication, and collaboration

Qualifications

• 10+ years in regulatory compliance, supervision, or risk management within financial institutions or regulators.
• Experience leading complex projects and teams with delivering high-quality work on time and budget.
• Knowledge of regulatory requirements across broker-dealers, investment advisers, asset managers, or capital markets businesses.

Responsibilities

• Lead and execute regulatory compliance engagements for financial institutions across supervision, governance, and risk management.
• Advise on licensing/registration, operating models, staffing, and policy design/implementation.
• Develop frameworks for regulatory risk management programs and prepare clients for examinations and enforcement matters.
• Build client relationships, contribute to proposals and thought leadership, and lead staff training and recruiting.

Skills

Regulatory compliance

Project leadership

Risk management

Regulatory reporting

Communication

Stakeholder management

Education

Bachelor's degree

Job description

BRG is launching a new capital markets group within its Financial Institutions Advisory practice and seeks an Associate Director to lead regulatory compliance engagements for financial institutions. The role focuses on complex projects across supervision, governance, technology enablement, and risk management.

Ideal candidates have 10+ years in regulatory compliance within financial services and are familiar with FINRA/SEC environments, with strong leadership, communication, and collaboration