Personal Trading Compliance Transformation Manager

Job Description

Job Description

About Ember

Ember Group Consulting is a management consulting firm focused on helping organizations navigate complex business challenges, optimize operations, and drive meaningful transformation. We partner with clients across a variety of industries, including financial services, healthcare, life sciences, and energy, delivering expertise in program and project management, process improvement, risk and compliance, and business transformation. Our people-first approach is rooted in building long-term relationships, delivering impactful solutions, and creating opportunities for our consultants to grow professionally while making a difference for our clients.

Position Overview

We are seeking an experienced Personal Trading Compliance Transformation Manager 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.

Key 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.

Requirements

Qualifications & Experience

• 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.

Preferred Qualifications

• 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.

Benefits

Why Ember?

At Ember Group Consulting, we believe our people are what make the difference. We offer the opportunity to build a long-term consulting career while gaining exposure to diverse clients, industries, and complex business challenges. Our consultants are valued members of the Ember team, supported by a collaborative, relationship-driven culture that prioritizes professional growth, meaningful work, and genuine connections.

We are committed to creating an environment where our people feel supported, empowered, and excited about the impact they make.

We spark the opportunity. You ignite your career.