Director, B/D And Ria Regulatory Disputes

Who We Are

Bates Group has been a trusted partner in the financial services industry for 40 years. Our mission is to help clients resolve and prevent financial and reputational risks. We do that by providing analytical and industry expert consulting services.

The Bates Group is committed to diversity in our people and practices, and we pride ourselves on recruiting, retaining, and developing high-quality people. We aspire to foster a culture of mutual respect and collaboration while at the same time being the preferred consulting firm for clients needing first-rate analytics and the industry’s expert knowledge.

Position Summary

Directors are recognized as experts in all aspects of client services and are the mentors of team leaders at Bates. As a Director, B/D and RIA Regulatory Disputes, you will be responsible for quality control and revenue for each project executed at your direction and under your management, including development and/or successful execution any applicable practice area plans. Directors also help the Business Development Team identify opportunities, participate in sales pursuits, and will also be accountable for their own practice revenue goals. This role will require a high degree of project management and execution acumen, as this position focuses on both business development and client-service fronts. Individuals in this position must possess effective communication skills and the ability to be an industry thought leader in order to further develop and expand the Bates Group brand and services. Directors are recognized by clients as experts and may be called upon to fill the role of an expert.

Key Responsibilities

• Accountable for project execution with assigned technical team and achievement of the client’s expectations of quality, schedule, and cost
• Advise Senior Managing Director of resource requirements for the practice area based on upcoming project pipeline (forecast)
• Accountable for project attaining project profit targets
• Proactively manages project risks and provides mitigation strategies where necessary
• Assists Senior Managing Director in performance coaching for consultants, associates, and analysts
• Responsible for maintaining and deepening existing relationships with key decision- makers and clients and assisting the Bates team in doing the same
• Accountable for working with Business Development and Marketing to increase market visibility of Bates to generate new business and deepen existing relationships
• Assists Marketing with collateral development for use in the Business Development process
• Maintain a reputation for professional excellence within the industry in support of the Bates brand

Required Skills

• Prior experience working with regulators and interfacing with SEC, FINRA, and CFTC a plus
• Demonstrated experience with and strong knowledge of Broker-Dealers and RIAs
• 10 years demonstrated Practice management knowledge and experience; multi-year experience in big data analytics
• Demonstrated ability to process and analyze big data, and/or guiding junior staff in analyzing big data
• Advanced technical skills in SAS, or Python, with advanced aptitude in Excel
• Demonstrated track record of consulting and relationship management
• Knowledge of key customers and influencers in both the financial services industry and outside law firms
• Experience building relationships with a track record of success developing/maintaining relationships leading to long-term relationships
• Demonstrated experience in leading and managing teams
• Ability to work under pressure and meet deadlines
• Strong analytical and organizational skills
• Thrives in a dynamic and entrepreneurial environment
• Demonstrated skills in working collaboratively with other groups within the organization
• Demonstrated leadership capability and the ability to motivate and guide a team
• Strategic thinking/strategic view of marketplace
• Honesty, integrity, and personal accountability

Desired Skills

• Bachelor’s degree in business administration or equivalent industry experience
• Prior direct experience with data analysis as a core job responsibility
• Prior consulting experience

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Vision insurance

Schedule:

• Monday to Friday

Work Location: Remote