Senior Regulatory Compliance & Technology Consultant

Ember Group Consulting • Charlotte, NC

1d

About The Position

We are seeking an experienced Senior Regulatory Compliance & Technology Consultant to join our growing team in a full-time, long-term consulting capacity. This individual will bring a strong background in financial services regulatory compliance, compliance operations, and the technology and data systems that support regulatory processes and controls.
The ideal consultant will have experience working within broker-dealer or investment adviser compliance environments, with a strong understanding of regulatory requirements, compliance platforms, data flows, and opportunities for process and technology optimization. We are looking for someone who can bridge the gap between compliance, business operations, and technology, translating complex regulatory requirements into practical solutions that improve efficiency, strengthen controls, and support long-term scalability. While financial services expertise is important for this opportunity, we value consultants who are adaptable and interested in supporting a variety of business transformation initiatives across industries throughout their careers.

Requirements

• 10+ years of experience in broker-dealer compliance, investment adviser compliance, compliance operations, compliance technology, or a related financial services regulatory function.
• Strong understanding of regulatory compliance requirements, particularly personal trading, Material Nonpublic Information (MNPI), information barriers, and employee compliance monitoring.
• Hands-on experience working with compliance technology platforms such as StarCompliance or comparable regulatory compliance and surveillance systems.
• Experience evaluating technology-enabled compliance processes, system workflows, data integrations, and operational controls.
• Understanding of HR systems, employee data, access management, and entitlement-related data flows that support compliance monitoring and reporting.
• Demonstrated ability to assess existing systems and processes, identify gaps, and recommend practical technology and operational improvements.
• Strong analytical, problem-solving, and stakeholder management skills, with the ability to connect regulatory requirements to business processes and technology solutions.
• Experience facilitating discussions with senior compliance stakeholders, technology teams, and cross-functional business leaders.
• Excellent communication skills, with the ability to explain complex regulatory and technical concepts to both technical and nontechnical audiences.
• Ability to work independently, manage competing priorities, and contribute to complex consulting initiatives.

Nice To Haves

• Experience with StarCompliance, employee compliance management systems, Workday, or comparable enterprise platforms.
• Professional compliance credentials such as the Certified Regulatory and Compliance Professional (CRCP), Investment Adviser Certified Compliance Professional (IACCP), or relevant FINRA registrations.
• Experience supporting compliance operations across multiple countries or regulatory jurisdictions, including EMEA or APAC.
• Familiarity with data analysis, reporting, or business intelligence tools such as Excel, SQL, or Power BI.
• Experience supporting compliance technology transformation, systems integration, or automation initiatives.
• Previous consulting experience supporting regulatory compliance, risk management, or technology transformation initiatives.

Responsibilities

• Lead assessments of regulatory compliance operations, supporting technologies, and data management processes to identify gaps, risks, inefficiencies, and opportunities for improvement.
• Provide subject matter expertise in broker-dealer and investment adviser compliance, ensuring regulatory expectations and industry best practices are incorporated into process assessments and future-state recommendations.
• Facilitate stakeholder interviews, system walkthroughs, and working sessions with compliance leaders, technology teams, system administrators, and business stakeholders.
• Evaluate compliance technology platforms, including personal trading surveillance, employee compliance monitoring, and related regulatory systems.
• Analyze and document data flows, system integrations, and information handoffs across compliance platforms, HR systems, entitlement management tools, and other enterprise applications.
• Identify manual processes, spreadsheets, disconnected systems, and other operational workarounds that create inefficiencies or increase compliance risk.
• Assess opportunities for automation, improved data quality, system optimization, and stronger integration between business and compliance technologies.
• Evaluate the scalability, effectiveness, and readiness of compliance processes and systems to support evolving business needs and regulatory requirements across multiple jurisdictions.
• Partner with cross-functional teams to develop future-state recommendations that align regulatory expectations with operational and technology capabilities.
• Translate complex regulatory and technical concepts into clear findings, actionable recommendations, and presentations for senior stakeholders and leadership teams.
• Collaborate with other consultants and workstream leads to ensure alignment across process improvement, regulatory compliance, technology, and data initiatives.

Benefits

• opportunity to build a long-term consulting career
• gaining exposure to diverse clients, industries, and complex business challenges
• 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