Compliance Marketing and Advertising Review Specialist

Northern Trust • New York, NY

55d • Hybrid

About The Position

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.

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.

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

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: No Education Listed
• Number of Employees: 501-1,000 employees