Associate, Operational Due Diligence Analyst at Northern Trust

Stamford, Connecticut, United States

Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Asset ManagementIndustries

Bachelor’s degree (or international equivalent) is required
1 to 3 years’ experience in operations, compliance, trading, and/or risk of a registered investment adviser strongly preferred
Proficiency with Microsoft 365 and an adaptable mindset for technological advancements
Experience with Microsoft Copilot, DiligenceVault, and/or FactSet a plus
Strong attention to detail, analytical skills, and ability to manage multiple projects
Team oriented with excellent written and verbal communication skills
Familiarity with the Investment Advisers Act of 1940 and the securities regulatory regimes in Canada, UK, and/or the EU a plus

Assist with all organizational and operational processes pertaining to ODD, including management of the ODD program’s essential data using multiple software applications
Assist senior analysts with ODD reviews of third-party investment managers, including review of source documents (e.g., diligence questionnaires, policies, procedures, regulatory filings), attending meetings with senior leadership of these managers (virtual and in person), and preparation of written findings from these ODD reviews
Assist with the ongoing monitoring of investment managers on the MMS platform through different touchpoints
Contribute to the enhancement of ODD processes and productivity
Collaborate with investment, legal, risk, operations, and compliance professionals within NTAM on various processes and initiatives