Consultant – Financial Institutions Advisory

Berkeley Research Group (BRG)

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

Posted 10/14/2026full-timeUnited StatesMid-LevelSenior💰 $115,000 - $190,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and risk management within financial institutions, with a strong focus on assessing and advising on compliance with SEC, FINRA, CFTC, and NFA regulations. Proven ability to lead project management efforts, develop client solutions, and communicate findings effectively.

Highest-signal resume keywords

Regulatory ComplianceRisk ManagementProject ManagementFinancial AnalysisClient Relationship Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceRisk Management FrameworksProcess MappingCompliance TestingFinancial Harm AnalysisAnalytical MethodsClient Deliverables PreparationBudget ManagementContractingWorkflow Development

Soft Skills

Strong Verbal CommunicationStrong Written CommunicationTeam CollaborationStaff ManagementPresentation Skills

Tools & Technologies

Microsoft OfficeExcelPowerPoint

Industry Keywords

Financial InstitutionBroker-DealersInvestment AdvisersAsset ManagementCapital MarketsSECFINRACFTCNFARegulatory Agency

About the role

Key responsibilities & impact

Execute financial institution advisory projects related to regulatory compliance and risk management
Work across supervision, governance, technology and operations enablement, and business process optimization
Contribute to compliance, supervisory, operational, and regulatory risk management frameworks and methodologies
Assess client policies, procedures, and controls against leading practices and industry frameworks
Identify gaps in design and execution and present actionable recommendations
Plan and execute assigned project tasks and support project administration and day-to-day client communications
Apply software tools, analytical methods, and computer models to develop client solutions
Prepare client deliverables and contribute to expert reports
Present findings and recommendations in coordination with engagement leads
Participate in practice meetings, business development initiatives, office activities, staff training, and recruiting
Managing Consultant: lead risk-management frameworks and methodologies within assigned engagements or workstreams
Managing Consultant: plan and manage client engagements or workstreams, including contracting, budget management, and client relationships
Managing Consultant: delegate assignments, guide staff, monitor progress, review deliverables, and present findings to client management
Managing Consultant: lead proposal preparation, prospective-client presentations, staff training, and recruiting

Requirements

What you’ll need

Minimum four (4) years of relevant experience in regulatory compliance, supervision, or risk management within a financial institution, regulatory agency, or consulting firm
Preferred focus on broker-dealers, investment advisers, asset or wealth management firms, swap dealers, or other capital markets businesses
Bachelor’s degree from an accredited college or university, or equivalent work experience
Demonstrated proficiency with Microsoft Office applications, particularly Excel and PowerPoint
Ability to prepare clear analyses and presentations
Strong verbal and written communication skills
Desire to work within a team environment
Ability to manage processes and other more junior staff, as necessary
Ability to travel to client sites as needed
Managing Consultant: minimum of six (6) years of direct experience assessing or advising on compliance with applicable SEC, FINRA, CFTC, NFA, or state regulatory requirements and expectations
Managing Consultant: experience conducting risk and control assessments, developing process maps and workflows, assessing compliance with capital markets regulations, and conducting markets compliance testing and financial harm analysis
Managing Consultant: proven project or program management experience, including planning and coordinating work, guiding staff, reviewing deliverables, and managing client communications
Candidate must be able to submit verification of his/her legal right to work in the U.S., without company sponsorship

Benefits

Comp & perks

Equal opportunity employment
Ability to perform essential functions with reasonable accommodation