Trading Operations / Capital Markets Project Consultant

Huron Consulting Services • Chicago, IL

9d

About The Position

Huron is redefining what a global consulting organization can be. Advancing new ideas every day to build even stronger clients, individuals and communities. We’re helping our clients find new ways to drive growth, enhance business performance and sustain leadership in the markets they serve. And, we’re developing strategies and implementing solutions that enable the transformative change they need to own their future. As a member of the Huron corporate team, you’ll help to evolve our business model to stay ahead of market forces, industry trends and client needs. Our accounting, finance, human resources, IT, legal, marketing and facilities management professionals work collaboratively to support Huron’s collective strategies and enable real transformation to produce sustainable business results. Join our team and create your future. The Project Consultant will conduct a comprehensive assessment of the client’s trading operations policies, procedures, and process flows across Mortgage‑Backed Securities (MBS), Fixed Income, and Equity Sales & Trading. The role includes evaluating the Private Wealth Advisors (PWA) business and how the retail business integrates into the Investment Banking (IB) business through an introducing broker‑dealer model. The consultant will review operational documents, workflows, and control frameworks to identify gaps against current policies, regulatory requirements, and industry best practices. This position requires strong analytical skills, experience in trading operations, and the ability to translate findings into actionable recommendations. Your Role: A Subject-Matter Expert Driving Trading Operations Compliance & Process Assessment As a consultant embedded within our client’s trading operations, you will go far beyond basic document review. You will act as a trusted advisor, analysing, challenging, and redesigning processes across Mortgage‑Backed Securities, Fixed Income, and Equity Sales & Trading.

Requirements

• Experience: You have hands‑on experience in trading operations, compliance, or operational risk within MBS, Fixed Income, or Equity markets. Experience assessing or designing controls within front‑office or support‑function environments is highly desirable.
• Professional Background: Experience within a consulting firm, broker‑dealer, investment bank, or wealth management environment is strongly preferred. Exposure to introducing broker‑dealer models, wealth‑to‑IB integration, or supervisory frameworks is advantageous.
• Regulatory & Policy Expertise : You possess a strong understanding of policies governing sales & trading activities, retail/wealth advisory interactions, and regulatory frameworks applicable to securities markets. You are comfortable assessing documentation against rules, guidance, and industry leading practice.
• Analytical & Process‑Mapping Skills : You can interpret complex workflows, assess control effectiveness, and identify gaps or inefficiencies. Experience with process mapping, gap analysis, and documenting end‑to‑end operational processes is essential.
• Communication & Client‑Facing Skills : You are adept at running workshops, interviewing stakeholders, and translating technical findings into clear, business‑friendly recommendations. You can speak fluently with trading staff, compliance officers, and senior management alike.
• Work Style & Competencies : Detail‑oriented, structured, and proactive, you thrive in an environment where you must independently navigate operational complexity, regulatory nuance, and client expectations. Strong writing skills and the ability to produce polished deliverables are mandatory.

Responsibilities

• Trading Operations Review & Assessment : You will conduct deep‑dive reviews of front‑, middle‑, and back‑office processes across MBS, Fixed Income, and Equity trading. This includes analysing end‑to‑end process flows, mapping operational controls, and evaluating how current policies align to actual trading practices. Your work will centre on identifying gaps, weaknesses, and inefficiencies against regulatory expectations and leading industry standards.
• Private Wealth & Retail‑to‑Investment Banking Integration Analysis: You will assess the Private Wealth Advisors (PWA) business and its integration into the Investment Banking division via an introducing broker‑dealer framework. This includes reviewing how client interactions, onboarding, suitability, trading processes, and supervisory structures operate across both business lines, and determining where process alignment or redesign is required.
• Policy, Procedure & Control Evaluation: You will examine the client’s full library of policies, procedures, manuals, and operating guides. This involves validating whether documented workflows accurately reflect business practices, whether control points are effective, and whether documentation meets regulatory obligations. You will evaluate adherence to current rules, regulations, and industry-leading practice.
• Documentation, Process Mapping & Gap Identification: You will review all documentation and process flows, assess control designs, and create detailed gap analyses. You will identify inconsistencies, undocumented steps, unclear ownership, and risks related to compliance, conduct, and operational execution. Your deliverables will include clear, actionable recommendations for remediation and process enhancement.
• Stakeholder Engagement & Advisory: You will operate as the link between trading, operations, compliance, and management stakeholders. Through interviews, workshops, and working sessions, you will surface pain points, test the design of existing controls, and build consensus around required changes. You will translate complex regulatory and operational issues into practical solutions that business leaders can act on.
• Reporting & Recommendations Delivery: You will produce structured deliverables that summarise findings, risk assessments, and remediation pathways. This includes drafting gap‑analysis reports, control recommendations, updated process flows, and proposed policy enhancements, ensuring the client receives a clear roadmap for improvement.

What This Job Offers

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