CAREERS
📁
Risk Management/Compliance
📅
79959 Requisition #
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.

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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
  • APAC/India EEO Statement
    • 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.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • 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.

  • USA EEO Statement
    • USA EEO STATEMENT

      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