Senior Process Improvement & Compliance Consultant - Personal Trading

Ember Group Consulting • Charlotte, NC

6d

About The Position

We are seeking an experienced Senior Process Improvement & Compliance Consultant to join our growing team in a full-time, long-term consulting capacity. This individual will bring a strong background in business process assessment, redesign, and operational improvement, with experience supporting compliance operations, employee conduct programs, or personal trading processes.
The ideal consultant will have hands-on experience evaluating current-state workflows, identifying operational risks and inefficiencies, and designing practical, sustainable future-state solutions. Experience with personal trading compliance, employee account disclosures, trade surveillance, pre-clearance processes, or related regulatory controls is highly valued. While financial services experience is a plus, we are ultimately looking for a versatile consultant who enjoys solving complex business challenges and is excited about supporting clients across different industries over the course of their career.

Requirements

• 10+ years of experience in process improvement, business process redesign, operations consulting, compliance operations, or a related field.
• Demonstrated experience leading current-state assessments, process mapping, gap analyses, and future-state process design.
• Exposure to personal trading compliance, employee conduct programs, code of ethics requirements, or related regulatory compliance processes.
• Experience facilitating stakeholder interviews, process walkthroughs, and workshops with compliance, operations, and cross-functional business teams.
• Strong understanding of operational risk, internal controls, governance, and process optimization.
• Proven ability to identify process inefficiencies, assess risks, and translate findings into practical, actionable recommendations.
• Strong analytical, problem-solving, documentation, and stakeholder management skills.
• Ability to manage multiple priorities, work independently, and lead initiatives in complex, fast-paced environments.
• Excellent communication and presentation skills, with the ability to engage effectively with stakeholders at all levels.

Nice To Haves

• Experience within financial services, particularly broker-dealer, investment adviser, or asset management environments.
• Familiarity with personal trading compliance platforms such as StarCompliance or comparable employee compliance and monitoring systems.
• Experience with trade surveillance, pre-clearance workflows, exception management, or compliance alert reviews.
• Understanding of employee account disclosure requirements, brokerage data feeds, and covered-person monitoring.
• Exposure to compliance technology, workflow automation, or process improvements involving regulatory monitoring systems.
• Previous consulting experience supporting compliance transformation, operational improvement, or process redesign initiatives across different industries.

Responsibilities

• Lead process improvement and redesign initiatives, evaluating existing workflows, identifying operational gaps, and developing recommendations to strengthen efficiency, effectiveness, and risk management.
• Facilitate stakeholder interviews, process walkthroughs, and working sessions with compliance teams, operations leaders, and subject matter experts to understand current-state processes and challenges.
• Develop detailed process inventories, swim lane maps, and supporting documentation to assess workflows, responsibilities, controls, and opportunities for improvement.
• Assess business processes across key dimensions, including control effectiveness, operational efficiency, ownership, technology and data, scalability, and regulatory readiness.
• Support the evaluation and optimization of personal trading compliance processes, including employee account disclosures, trade pre-clearance, post-trade surveillance, attestations, private transactions, and breach management.
• Identify control gaps, process inefficiencies, and operational risks, developing risk-rated findings and validating recommendations with business and compliance stakeholders.
• Lead future-state design workshops and collaborate with cross-functional teams to develop actionable process improvements and sustainable operating models.
• Evaluate opportunities to improve compliance monitoring, reporting, employee conduct controls, and supporting technology-enabled workflows.
• Partner with compliance, risk, and technology teams to ensure alignment between personal trading processes, restricted-list controls, and surveillance activities.
• Provide guidance and oversight to analysts or junior team members supporting process documentation, assessments, and project deliverables.
• Prepare clear, concise findings, recommendations, and presentations for senior stakeholders and leadership teams.

Benefits

• opportunity to build a long-term consulting career
• gaining exposure to diverse clients, industries, and complex business challenges
• valued members of the Ember team
• supported by a collaborative, relationship-driven culture
• prioritizes professional growth
• meaningful work
• genuine connections
• environment where our people feel supported, empowered, and excited about the impact they make

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed