Compliance Marketing and Advertising Review Specialist

About the role

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution with over 130 years of financial experience and over 22,000 partners. The Northern Trust Asset Management (NTAM) Compliance Consultant advises business partners, including senior management, on NTAM’s compliance program and applicable laws, regulations, rules, and standards.

Responsibilities

• Reviews marketing materials for compliance with applicable rules and laws, including SEC 206(4)-1, SEC 482, and FINRA 2210.
• Serves as a senior member of the Marketing Compliance team, leading by example and assisting management with the development of the team.
• Maintains and reviews procedures and practices of partners to ensure 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.
• Aids in the development of Compliance programs and acts 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 the team Manager to act as a lead on projects and learn project management skills.

Requirements

The successful candidate will benefit from having advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience, to review Compliance policies and procedures to ensure their adequacy and to monitor compliance. Exceptional analytical and communication skills are required to analyze and summarize information. Organizational skills are required to coordinate compliance activities.

Qualifications

• 5-7 years of related experience.

Skills

Advanced knowledge of applicable laws and regulations, exceptional analytical and communication skills, organizational skills.

Benefits

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. A discretionary bonus program that may include an equity component is also provided.

Pay

Salary Range: $114,700 - 194,900 USD

Schedule

Not specified