Sales Practice Leader: Regulatory Compliance
Northern Trust Company
Northern Trust in Chicago is seeking a first-line Sales Supervision leader for the retail broker-dealer. You will supervise daily front office activities and manage Registered Associates, ensuring adherence to FINRA and SEC rules while mentoring staff and driving compliant performance. The role requires strong regulatory and supervisory expertise, excellent communication, and the ability to assess complex situations. Location options include Chicago at 50 S. LaSalle or other U.S. #J-18808-Ljbffr Northern Trust
Vacancy posted 2 days ago
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