Sr. Consultant, Compliance

Responsible for serving as the subject matter expert/primary compliance contact for multiple activities on the U.S. C&IS Compliance Team (which including Legal Entities, payments, custody, safekeeping, transfer agency, and benefit payments).

Specifically, the role is responsible for the establishment, oversight and execution of a written compliance program which describes the scope, organization, roles and responsibilities, regulator approaches and expectations, risk monitoring and measurement, and any required external reporting of their respective programs.

Major Duties 

1. Serves as a subject matter expert or other resource within a group for regulatory compliance matters, including maintaining compliance programs/policies, monitoring plans, and regulatory maps. 
2. 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.
3. Participates in developing Compliance programs and acts as a contact point within the company for Compliance inquiries from partners. Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes.
4. 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.
5. Identifies, measures, and documents Compliance risk to enhance Compliance risk assessments and assess the appropriateness of the company's Compliance procedures and guidelines.
6. Identifies situations which may pose significant Compliance risk and guides management in developing policies and/or procedures that minimize risk.
7. Identifies and documents any Compliance risks associated with the Company’s activities.
8. Participates in training partners and delivering communications on applicable laws and regulations.

Knowledge/Skills: 

• Knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred to review Compliance policies and procedures in order to ensure their adequacy and to monitor compliance.
• Analytical and communication skills required to consult with partners/clients, and analyze information and apply regulations. 
• Strong organizational skills, a collaborative approach to work, with strong interpersonal skills
• Ability to use initiative and work unsupervised in a productive manner
• Project management skills preferred
• Bachelors Degree preferred, JD a plus

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.

For further information, and to apply, please visit our website via the “Apply” button below.