Michael Sullivan

Michael Sullivan is a managing director in BRG’s Financial Institution Advisory practice based in Washington, DC. He helps broker-dealers, investment advisers, swap dealers, and other clients who have as their primary regulator the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, US Commodity Futures Trading Commission, and National Futures Association.

Mr. Sullivan spent six years as a partner at a major professional services firm building and leading a practice dedicated to assisting broker-dealers, investment advisers, and swap dealers. Previously, he was a managing director for fourteen years at Promontory Financial Group (IBM Consulting), where he was a founding member of the team assisting clients with securities compliance, supervisory, risk, and governance matters. He began his career as an attorney in the SEC’s Division of Enforcement investigating potential violations of federal securities laws and worked in the SEC’s Office of the General Counsel in its Legal Policy Group. He also worked in the Office of the General Counsel at the Public Company Accounting Oversight Board (PCAOB).

Mr. Sullivan has assisted broker-dealers, investment advisers, swap dealers, and other markets regulated entities with the build or enhancement of compliance, regulatory, and supervisory programs to help clients comply with federal securities laws and regulatory requirements and expectations. He has also led engagements for financial markets regulators.

Mr. Sullivan served as adjunct professor and cocreator of Corporate Compliance, Controls, and Governance at Georgetown University Law School from 2009 to 2010.