CAREERS

Consultant, Fund Governance Solutions (FGS)

📁
Operations/Securities
📅
82149 Requisition #

Summary

The Fund Governance Solutions Group combines Regulatory Administration and Compliance Support resources to support our client’s regulatory needs.  These groups are made up of experienced industry professionals, who are able to work with our client’s internal teams to plan filings, provide support on non-routine matters including proxy campaigns and fund reorganizations, as well as distribution and intermediary support. 

Under general direction, the Consultant position will be responsible for conducting and participating in compliance testing and oversight initiatives, assisting in the review and production of regulatory filings and reports, the review, production and maintenance of Board and committee materials and the administrative activities related to Board  and committee meeting support.

 

Major Duties:

  • Act as a point of contact for clients and Partners with respect to the post-trade compliance monitoring of GFS-client portfolios.  This will include:
  • Daily compliance support of 1940 Act and CIT Fund clients, including reviewing and analyzing automated monitoring and performing manual tests;
  • Understanding SEC and IRS rules;
  • Assisting in the development of compliance tests both on- and off-line;
  • Maintaining appropriate documentation and files; and
  • Providing internal and external audit support.
  • Participate in the quarterly and annual testing of Northern’s Rule 38a-1 Program, ensuring that the testing is performed according to standards and delivered to clients accurately and in a timely manner.
  • Prepare Board and Senior Management reporting, including being able present and communicate large volumes of information effectively and being able to respond to questions regarding the material.
  • Assist with review and production of materials for Board, Committee, and client meetings.
  • Finalize arrangements for Board meetings which may include:  making transportation arrangements, planning meals, arranging technology, and providing digital or paper copies as needed.
  • Assist with review and execution of regulatory filings and reporting.
  • Update and maintain Board and regulatory calendars and responsibility matrices.
  • Perform research on issues regarding the Investment Company Act of 1940, as amended, and other fund and client regulatory obligations as needed.
  • Participate in new business situations, including the review and analysis of needs and the design of solutions.

Knowledge/Skills:

  • Excellent oral and written communication skills are required
  • Strong attention to detail
  • Analytical and problem-solving skills are required.
  • Ability to work independently and as part of a collaborative group is required.
  • Excellent organizational and project management skills are required.
  • Functional / Industry Knowledge is preferred
  • Highly flexible and adaptable to change
  • Technical skills / regulatory knowledge is required

 

Experience Required:

A College or University degree in Business Administration, Finance, Economics, Accounting or related field and/or relevant proven work experience is preferred.

 

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.

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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), 1800-425-0333 (India), +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
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    • APAC/INDIA 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.

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    • 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.

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      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