Northern Trust

Compliance Marketing and Advertising Review Specialist

Northern Trust$114K — $194K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5-7 years of related compliance experience.
  • Advanced knowledge of laws and regulations in finance.
  • Exceptional analytical and communication skills.
  • Strong organizational skills for coordinating activities.
  • Education or formal training in compliance or related fields.

Responsibilities

  • Review marketing materials for compliance with regulations.
  • Lead and mentor the Marketing Compliance team.
  • Monitor partners' practices for adherence to policies.
  • Advise business partners on compliance standards and developments.
  • Respond to inquiries regarding regulatory requirements.
  • Assist in developing and implementing compliance programs.
  • Identify compliance risks and suggest procedural changes.

Benefits

  • Comprehensive retirement benefits including 401k and pension.
  • Health, dental, and vision insurance options.
  • Generous paid time off and parental leave.
  • Life and accident insurance provision.
  • Discretionary bonus program with potential equity component.
Full Job Description
The Northern Trust Asset Management (NTAM) Compliance Consultant will advise business partners, including senior management, on NTAM's compliance program and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.

The key responsibilities of the role include:
  • Reviews marketing materials for a global asset manager for compliance with applicable rules and laws, including, but not limited to, SEC 206(4)-1, SEC 482, and FINRA 2210.
  • Serves as a senior member of the Marketing Compliance team of analysts, leading by example and assisting management with the development of the team
  • Monitors and reviews procedures and practices of partners to assure 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.
  • Assists in the development of Compliance programs and may act 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 team Manager to act as a lead on projects and learning project management skills.

The successful candidate will benefit from having:
  • Advanced knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred to review Compliance policies and procedures to ensure their adequacy and to monitor compliance.
  • Exceptional analytical and communication skills required to analyze and summarize information. Organizational skills required to coordinate compliance activities.
  • 5-7 years of related experience.

#LI-LK2, #LI-Hybrid

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

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.

About Northern Trust

Northern Trust is a global leader in delivering innovative investment management, asset and fund administration, and fiduciary and banking solutions to corporations, institutions, and affluent individuals. They have evolved with the changing needs of their clients and their world.

Northern Trust Careers

Joining Northern Trust means becoming part of a global financial services institution that is dedicated to providing expert guidance and innovative solutions to its clients. At Northern Trust, we pride ourselves on fostering a culture of leadership, diversity, and innovation, which makes us a premier destination for career growth in the financial industry.

Work You’ll Do

At Northern Trust, you will collaborate with some of the most talented professionals in the financial sector. Our team is committed to excellence and equipped with a diverse range of skills that contribute to our dynamic environment. Here, you will have the opportunity to lead projects that transform our services and drive significant value for our clients across the globe.

Explore Job Opportunities and Internships

Whether you are starting your career or looking to make a significant impact in the financial industry, Northern Trust offers a variety of job opportunities and internships that will help you achieve your professional goals. From entry-level positions to leadership roles, our company is actively hiring individuals who are passionate, curious, and driven to excel.

Innovative Work

Northern Trust is at the forefront of financial innovation. Our employees are encouraged to think creatively and leverage cutting-edge technologies to solve complex problems. By joining our team, you will work on pioneering solutions that redefine the standards of financial services.

Be Part of a Great Team

Our team at Northern Trust is more than just a group of employees – we are a community. We value collaboration, and our culture is built on mutual respect and a commitment to diversity and inclusion. Working with us, you will experience a supportive network that is passionate about sharing knowledge and ideas.

Future-Proof Your Career

Northern Trust is dedicated to your professional development. We offer comprehensive benefits, diversity training, and numerous resources to help you grow your career. With our support, you can expand your skills, gain valuable experience, and achieve professional certifications that will enhance your career trajectory.

Stay Connected

Join Our Team

Discover the perfect role for you at Northern Trust by exploring our current job openings that match your skills and interests. We are looking for professionals who are solution-driven and eager to contribute to our legacy of financial excellence.

Keep Up to Date

Stay informed with the latest career tips, industry insights, and professional growth opportunities—all available through our careers blog. At Northern Trust, we ensure that our team members are always ahead in the industry.

Job Alert Emails

Customize your experience by subscribing to job alerts and insider tips tailored to your preferences. At Northern Trust, exciting and rewarding opportunities are always on the horizon, and we are eager to see where your talents can take us. Join Northern Trust today and be part of a company that values innovation, leadership, and a diverse and inclusive workplace. Here, every position is a chance to contribute to something bigger and to turn your job into a meaningful career.
Learn more about Northern Trust
Size
21,100 employees
Market Cap
$18.1 billion
Industry
Net Income
$1.2 billion
Founded
1889
5 Year Trend
+4.9%
Revenue
$6.1 billion
NASDAQ

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