Compliance Marketing and Advertising Review Specialist
About The Position
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. The key responsibilities of the role include: 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. Serves as a senior member of the Marketing Compliance team of analysts, leading by example and assisting management with the development of the team 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 with team Manager to act as a lead on projects and learning project management skills.
Requirements
- Advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred to review Compliance policies and procedures to ensure their adequacy and to monitor 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.
Responsibilities
- 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.
- Serves as a senior member of the Marketing Compliance team of analysts, leading by example and assisting management with the development of the team
- 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 with team Manager to act as a lead on projects and learning project management skills.
Benefits
- 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
- other voluntary and well-being benefits
- discretionary bonus program that may include an equity component
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
