Sr. Consultant- Broker Dealer Compliance

About Northern Trust:

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 worlds 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 22000 partners we serve the worlds most sophisticated clients using leading technology and exceptional service.

The Sr. Consultant Broker Dealer Compliance is responsible for overseeing the interpretation education and effectiveness of the firm. They will support Northern Trusts affiliate broker-dealer in a wide-scope of responsibilities that support the compliance framework.

The key responsibilities of the role include:

• Advises business partners including senior management on Compliance programs and applicable laws regulations rules and standards including keeping them informed of developments or changes that may affect their area.
• Develops Compliance programs and acts as a contact point within the Company for Compliance inquiries from partners.
• Establishes 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 Compliance programs and identifying partners who are required to take certain training.
• Identifies documents and measures Compliance risk to enhance Compliance risk assessments and assess the appropriateness of the companys 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 regulators and internal and external auditors on regulatory topics.
• Operates independently; has in-depth knowledge of Compliance risk avoidance.
• Serves as a subject matter expert or other resource within a group for regulatory Compliance matters.
• Reviews work of others.
• Project lead.

The successful candidate will benefit from having:

• 7 years experience preferably in Compliance or risk management; or equivalent related experience.
• Series 24 FINRA registration required Series 65 or 66 preferred
• Knowledge of risk management and the Companys strategic goals.
• In-depth knowledge of regulations and local laws acquired through formal education and work experience is required.
• Communication and analytical skills are necessary to consult with partners/clients and analyze information and apply regulations.
• Note that this role will require 10% domestic travel

Salary Range:

Salary range is a good faith estimate of base pay. 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.

Working with Us:

As a Northern Trust partner greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged senior leaders are accessible and you can take pride in working for a company committed to assisting the communities we serve!Join a workplace with a greater purpose.

Wed love to learn more about how your interests and experience could be a fit with one of the worlds most admired and sustainable companies! Build your career with us andapply today.#MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process please email our HR Service Center at .

We hope youre excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.