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Analyst, Agency Review Execution Team

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Operations/Securities
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74231 Requisition #
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Responsible for ensuring documentation files and account systems for Wealth Management Agency, Custody and IRA Relationships are complete and accurate to ensure regulatory compliance. 

Major Duties 

1. Facilitates review process for non-fiduciary relationships, ensuring compliance with and adherence to policy and regulation. 
 2. Ensures that non-fiduciary relationships are properly documented – and articulated appropriately on corresponding systems.

3. Prepare documentation identified as missing from the account file during the course of review.  

4. Responsible for identifying and resolving problems within established guidelines – working directly with Client Advisors and their associates, as needed. 

5. Works effectively as a team member but also independently.
Knowledge/Skills

Requires strong oral and written communication skills. Basic Functional /Industry Knowledge is preferred. 

Analytical and problem solving skills are critical. Must have ability to collaborate with peers and to use discretion in escalating issues to management. Technical skills/systems knowledge preferred.  

Role can serve as an introduction into Wealth Management, for those interested in learning the business, in general. 

Experience Required

College or university degree and/or relevant proven work experience sufficient to provide knowledge of and exposure to the functional business. 


For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.  

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater. 

 As of September 30, 2018, Northern Trust Corporation had: 

$10.8 trillion in assets under custody/administration 
$8.2 trillion in assets under custody 
$1.2 trillion in assets under management
$132 billion in banking asset

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement