Analyst, Compliance
Seeking a motivated individual to join a leading investment management firm’s development program focused on alignment with industry best practices for regulatory investment compliance (portfolio management, trading, sales, marketing, ethics. reporting).
Position provides the opportunity to develop broad investment experience through a rotational program within the Asset Management Compliance group at Northern Trust.
Direct exposure to executive management through the development and support of the firm’s risk management and compliance programs for Registered Investment Adviser, Private Funds, Mutual Fund and Exchange Traded funds.
• With guidance from senior team members analyzes and supports business partners on Investment Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.
• With guidance from senior team members, supports the establishment of written guidance on the appropriate implementation of Compliance programs and laws, regulations, rules and standards, through policies and procedures and other documents, such as Compliance manuals, internal codes of conduct and practice guidelines.
• Assists senior management in developing and administering Compliance programs.
• Supports compliance and risk data analytics and metrics to enhance Compliance risk assessments and assess the appropriateness of the company's Compliance procedures and guidelines.
• Identifies situations which may pose significant risk and guides management in developing policies and/or procedures that minimize such risk.
• Interacts with business partners, clients, regulators, and internal and external auditors on regulatory topics.
• Operates with the support of experienced staff and senior management.
• Candidate will develop into serving as a subject matter expert for regulatory investment compliance matters.
•Communication and analytical skills are necessary to consult with partners/clients, and analyze information and apply regulations
•Investment Advisers Act of 1940 and Investment Company Act interest is preferred.
•Some experience and/or relevant coursework a plus but not required.
•Candidate will develop an in-depth knowledge of regulations and local laws through experience.
About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
Working with Us:
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and ethical companies. Build your career with us and apply today.