Associate Director – Financial Institutions Advisory

Berkeley Research Group (BRG)

. Lead and execute financial institution advisory projects related to regulatory compliance and risk management.

Posted 10/14/2026full-timeUnited StatesSenior💰 $190,000 - $240,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance, risk management, and advisory services within financial institutions, with a strong focus on developing frameworks and methodologies for compliance programs. Proven ability to lead complex projects, manage teams, and effectively communicate regulatory requirements to senior stakeholders.

Highest-signal resume keywords

Regulatory ComplianceRisk ManagementProject LeadershipClient Relationship ManagementFinancial Institution Advisory

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Requirements AssessmentCompliance Testing and MonitoringWritten Supervisory Procedures DesignRisk AssessmentRegulatory Change Programs

Soft Skills

Verbal CommunicationWritten CommunicationAttention to DetailTeam CollaborationJudgment

Certifications & Qualifications

Advanced DegreeRelevant Professional Certification

Industry Keywords

Broker-DealersInvestment AdvisersAsset ManagementWealth ManagementSecuritiesDerivativesStructured ProductsDigital AssetsSECFINRA

About the role

Key responsibilities & impact

Lead and execute financial institution advisory projects related to regulatory compliance and risk management.
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.
Take a leadership role in staff training and recruiting.
Collaborate with BRG professionals across risk, investigations, economics, corporate finance, data, and performance improvement on multidisciplinary client matters.

Requirements

What you’ll need

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.
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.
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.