BRG Expands Markets Compliance Capabilities with Three New Hires

BRG today announced that Managing Directors Conway Dodge and Michael Sullivan and Director Richard Patterson have joined the firm’s Financial Institution Advisory (FIA) practice.

Based in Washington, D.C., the three are part of BRG’s dedicated Markets Compliance group serving broker-dealers, investment advisers, swap dealers and other entities primarily regulated by the U.S. Securities and Exchange Commission (SEC), U.S. Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA) and National Futures Association.

“Markets Compliance is a growing area for BRG as financial institutions navigate increasingly complex regulatory requirements,” said Paul Noring, a managing director and leader of BRG’s FIA practice. “Michael, Conway and Richard bring legal backgrounds and years of experience across regulatory and consulting roles. They will provide clients with advisers who understand both what regulators expect and how those expectations shape day-to-day realities. BRG will continue to build out this team with asset and wealth management experts to provide industry-leading insights.”

Dodge has spent over 30 years working across law, regulation and compliance. He served for more than a decade in the SEC’s Division of Enforcement before moving into senior advisory roles serving financial institutions and digital asset firms. His work has focused on SEC and FINRA examinations, enforcement matters and compliance programs. He earned a JD from Northeastern University School of Law and BA from the College of the Holy Cross.

Sullivan has nearly 30 years of government and private-sector experience spanning federal securities enforcement, SEC legal policy work and compliance consulting. Before joining BRG, he was a partner at KPMG and a managing director at Promontory Financial Group (IBM Consulting). He served as an attorney in the SEC’s Division of Enforcement and worked at the Public Company Accounting Oversight Board. He earned a JD/MBA from Northeastern University and BA from Villanova University.

Patterson is a former FINRA investigator and compliance attorney with over 14 years of experience advising financial institutions and emerging companies on complex risk and compliance matters. His work focuses on designing and implementing compliance programs covering supervision, licensing and registration, conflicts of interest, information security and data protection and privacy. He earned a JD from American University Washington College of Law and BA from Boston College.