ACCA Careers
Overview
Specialist, Compliance role at ACCA Careers 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. Responsibilities
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. Qualifications
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. Salary and Benefits
$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. Working With Us
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. 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 sustainable companies. Build your career with us and apply today. #MadeForGreater Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater. For further information, and to apply, please visit our website via the “Apply” button below. Job specifics
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales Industries: Accounting Location: Stamford, CT
#J-18808-Ljbffr
Specialist, Compliance role at ACCA Careers 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. Responsibilities
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. Qualifications
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. Salary and Benefits
$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. Working With Us
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. 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 sustainable companies. Build your career with us and apply today. #MadeForGreater Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater. For further information, and to apply, please visit our website via the “Apply” button below. Job specifics
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales Industries: Accounting Location: Stamford, CT
#J-18808-Ljbffr