Specialist, Compliance

About Northern Trust Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service. Role Overview The Northern Trust Asset Management (NTAM) Compliance Consultant will advise business partners, including senior management, on NTAM’s compliance program and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. Key Responsibilities Review marketing materials for a global asset manager for compliance with applicable rules and laws, including, but not limited to, SEC206(4)-1, SEC482, and FINRA2210. Serve as a senior member of the Marketing Compliance team of analysts, leading by example and assisting management with the development of the team. Monitor and review procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies. Advise business partners on compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. Respond to internal and external inquiries and requests for information to clarify regulatory requirements; recommend appropriate procedural changes. Assist in the development of compliance programs and may act as a contact point within the company for compliance inquiries from partners. Identify and document any compliance risks associated with the company’s activities. Research and develop analytical reports and solutions for issues being addressed by the department. Participate in training partners and delivering communications on applicable laws and regulations. Coordinate and/or perform activities related to designated compliance initiatives. Carry out compliance‑related activities through direct interaction with committees and management. Work with the team manager to act as a lead on projects and learn project‑management skills. Qualifications & Benefits Advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience, preferred for reviewing compliance policies and procedures to ensure their adequacy and monitoring compliance. Exceptional analytical and communication skills required to analyze and summarize information; organizational skills required to coordinate compliance activities. 5–7 years of related experience. Salary Range $114,700 – 194,900 USD Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well‑being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component. Working with Us As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Reasonable Accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at View email address on click.appcast.io. #J-18808-Ljbffr