Senior Regulatory & Tech Transformation Consultant

Ember Group Consulting LLC; Charlotte (NC); On-site; USD 140,000 - 200,000; Full time

Job summary

Ember Group Consulting LLC in Charlotte, NC is seeking a Senior Regulatory Compliance & Technology Consultant to join our growing team in a full-time, long-term capacity. You will bridge regulatory requirements with business processes and technology, focusing on broker-dealer and investment adviser compliance, compliance operations, data flows, and automation opportunities across multi-jurisdiction needs.

The ideal candidate brings 10+ years of financial services regulatory experience, hands-on

Qualifications

• 10+ years of experience in broker-dealer or investment adviser compliance, compliance operations, or related regulatory function.
• Strong understanding of regulatory requirements, MNPI, information barriers, and employee monitoring.
• Hands-on experience with compliance platforms such as StarCompliance or similar systems.
• Experience evaluating technology-enabled compliance processes, data integrations, and controls.

Responsibilities

• Lead assessments of regulatory compliance operations, supporting technologies, and data management processes to identify gaps and risks.
• Provide subject matter expertise in broker-dealer and investment adviser compliance.
• Facilitate stakeholder interviews, system walkthroughs, and working sessions with compliance and technology teams.
• Evaluate compliance technology platforms and related regulatory systems.
• Analyze and document data flows, system integrations, and handoffs across platforms.
• Identify manual processes and opportunities for automation and integration.

Skills

Regulatory compliance

Stakeholder management

Technology platforms

Data flows

Automation opportunities

Communication skills

Independent work

Education

Compliance credentials (CRCP/IACCP)

Tools

StarCompliance

Workday

Power BI

Job description

Ember Group Consulting LLC in Charlotte, NC is seeking a Senior Regulatory Compliance & Technology Consultant to join our growing team in a full-time, long-term capacity. You will bridge regulatory requirements with business processes and technology, focusing on broker-dealer and investment adviser compliance, compliance operations, data flows, and automation opportunities across multi-jurisdiction needs.

The ideal candidate brings 10+ years of financial services regulatory experience, hands-on