Compliance Analyst at Northern Trust

Bengaluru, Karnataka, India

Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Asset ManagementIndustries

General knowledge of applicable laws and regulations, usually acquired through formal education or experience
Analytical skills to analyze and summarize information
Communication skills to analyze and summarize information
Organizational skills to coordinate compliance activities
1-3 years of related experience

Reviews marketing materials for a global asset manager for compliance with applicable rules and laws, including, but not limited to, SEC 206(4)-1, SEC 482, and FINRA 2210
Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies
Advises 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
Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes
Assists in the development of Compliance programs and may act as a contact point within the company for Compliance inquiries from partners
Identifies and documents any Compliance risks associated with the Company's activities
Researches and develops analytical reports and solutions for issues being addressed by the department
Participates in training partners and delivering communications on applicable laws and regulations
Coordinates and/or performs activities related to designated Compliance initiatives
Carries out Compliance-related activities through direct interaction with committees and management
Works on projects and learning project management skills