Specialist, Compliance at Northern Trust

Chicago, Illinois, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Asset ManagementIndustries

Requirements

Advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience
Exceptional analytical and communication skills to analyze and summarize information
Organizational skills to coordinate compliance activities
5-7 years of related experience

Responsibilities

Reviews marketing materials for a global asset manager for compliance with applicable rules and laws, including SEC 206(4)-1, SEC 482, and FINRA 2210
Serves as a senior member of the Marketing Compliance team, leading by example and assisting management with team development
Monitors and reviews procedures and practices of partners to assure compliance with regulatory requirements and internal policies
Advises business partners on Compliance programs and applicable laws, regulations, rules, and standards, including updates on developments or changes
Responds to internal and external inquiries and requests for information to clarify regulatory requirements and recommends procedural changes
Assists in the development of Compliance programs and acts as a contact point for Compliance inquiries
Identifies and documents Compliance risks associated with company activities
Researches and develops analytical reports and solutions for departmental issues
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 with team Manager to act as a lead on projects and develop project management skills

Skills

Key technologies and capabilities for this role

Marketing ComplianceSEC 206(4)-1SEC 482FINRA 2210Regulatory ComplianceCompliance MonitoringRisk IdentificationCompliance Programs

Questions & Answers

Common questions about this position

What is the salary range for the Specialist, Compliance position?

The salary range is $114,700 - 194,900 USD.

Is this a remote or hybrid role?

This is a hybrid role.

What experience and skills are required for this position?

The role requires 5-7 years of related experience, exceptional analytical and communication skills, and organizational skills. Advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred.

What does the team structure look like for this role?

The role is part of the Marketing Compliance team of analysts, serving as a senior member leading by example and assisting management with team development. It involves working with the team Manager to act as a lead on projects.

What makes a strong candidate for this compliance specialist role?

Strong candidates will have 5-7 years of related experience, advanced knowledge of laws and regulations, exceptional analytical, communication, and organizational skills to review marketing materials, advise partners, and lead compliance initiatives.