Compliance analyst

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 over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Seeking a motivated individual to join a leading investment management firm’s compliance program focused on alignment with industry best practices for regulatory compliance (trading, sales, marketing, ethics, board reporting). The position provides the opportunity to develop broad investment experience within the Asset Management Compliance group at Northern Trust Asset Management. Direct exposure to executive management through the development and support of the firm’s compliance programs for Registered Investment Advisers, Private Funds, Mutual Funds and Exchange Traded Funds. Candidate will develop an in-depth knowledge of regulations and local laws through on the job training.

The Key Responsibilities Of The Role Include

• With guidance from senior team members analyzes and supports business partners with advice on applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.
• With guidance from senior team members, supports the establishment of written guidance on the appropriate implementation of Compliance programs and laws, regulations, rules and standards, through policies and procedures and other documents, such as Compliance manuals, internal codes of conduct and practice guidelines.
• Assists senior management in developing and administering Compliance programs.
• Supports compliance and risk data analytics and metrics to enhance Compliance risk assessments and assess the appropriateness and effectiveness of the company's Compliance procedures and guidelines.
• Identifies situations which may pose significant risk and guides management in developing policies and/or procedures that minimize such risk.
• Interacts with business partners, clients, regulators, and internal and external auditors on regulatory topics.
• Operates with the support of experienced staff and senior management.
• Candidate will develop into serving as a subject matter expert for regulatory investment compliance matters.
  
  

The Successful Candidate Will Benefit From Having

• Bachelor's Degree
• 1-3 years of related experience
• Knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred to review Compliance policies and procedures in order to ensure their adequacy and to monitor compliance.
• Analytical and communication skills required to analyze and summarize information.
• Organizational skills required to coordinate compliance activities.
  
  

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Salary Range

$61,500 - 98,300 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.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

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 [email protected].

We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.