Associate Director - Financial Institutions Advisory

About this role

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.