CAREERS

Consultant, Compliance (Marketing)

📁
Risk Management/Compliance
📅
84088 Requisition #

Work closely with the executive leadership team in Compliance to develop, administer, and update the marketing review framework and related compliance policies and procedures designed to comply with the Investment Company Act, the Investment Advisers Act of 1940 and FINRA rules..

•Manage the development and administration of the marketing review compliance programs and assist in defining and developing risk parameters, process efficiencies, policies and controls.

•Assist in the performance of testing and oversight of the marketing policies and procedures applicable to adviser entities and funds.

•Partner with Legal, the RFP, Marketing and Performance teams to administer compliance responsibilities and to advise on regulatory risks and requirements.

•Liaise with management and different departments regarding special projects and regulatory initiatives and provide guidance and analysis of rules and/or firm policies, as appropriate.

•Assist in implementing new rules and processes.

•Coordinate and assist in regulatory examinations and/or audits and prepare information as needed.

•Understanding of changing marketing environment including social media and increased use of digital platforms.

•Manage ad hoc projects, as needed.

Qualifications
•Minimum of 5 years of experience in marketing at an asset management firm
•Strong familiarity with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related SEC guidance, FINRA rules and guidance applicable to marketing, 1933 Act rules applicable to funds
•Strong analytical and communication skills
•Familiarity with Red Oak and Seismic preferred but not required.

 

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