Broker Dealer Compliance- Sr. Consultant

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions.

Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.

With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

The Broker Dealer Compliance- Sr. Consultant is responsible for overseeing the interpretation, education and effectiveness of the Compliance program. They will support Northern Trust’s affiliate, a FINRA member broker-dealer and SEC-registered investment adviser (RIA), across a wide scope of responsibilities that support the compliance framework.

The key responsibilities of the role include:

- Serves as project lead and independently remediates identified issues, often working across channels and influencing change initiatives without direct authority.

- Advises business partners, including senior management, on Compliance programs and applicable laws, regulations and rules, and keeps them informed of developments that may affect their area.

- Develops Compliance programs, including training requirements, with senior management, and serves as the Company’s contact point for partner Compliance inquiries.

- Drafts and maintains written guidance, such as policies and procedures, Compliance manuals, codes of conduct and practice guidelines.

- Performs compliance inspections and controls testing, documents results, and tracks findings through resolution.

- Supports regulatory examinations and inquiries by coordinating requests, drafting responses, and tracking status and findings.

- Owns recurring Compliance operations, such as registration and background checks, communications and social media review.

- Identifies, documents and measures Compliance risk, enhances risk assessments, and guides management in developing policies and procedures that minimize significant risk.

- Interacts with internal and external auditors on regulatory topics.

- Reviews the work of others.

The successful candidate will benefit from having:

- 10+ years’ experience, preferably in Compliance or risk management; or equivalent related experience.

- Series 24 FINRA registration and 63/66 state licensing required; Series 65/66, 4, and 53 must be successfully registered within 180 days of employment.

- Knowledge of risk management and the Company’s strategic goals.

- In-depth knowledge of FINRA, SEC and Investment Advisers Act regulations and applicable local laws, acquired through formal education and work experience.

- Strong communication and analytical skills to consult with partners and clients, analyze information and apply regulations.

- Ability to author clear, well-organized policies, procedures, reports and regulatory responses.

- Ability to train and present effectively to audiences at all levels, including senior management.

- Ability to design and implement projects from concept through completion.

- Proven ability to manage multiple priorities, work with minimal oversight, and build credibility with partners across the organization.

Experience :

- 10 or more years experience, preferably in Compliance or risk management; or equivalent related experience.

#LI-LK2, #LI-Hybrid

Salary Range:
$83,100 - 141,300 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.

Work Authorization

Applicants must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. Northern Trust will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).

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 committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trust’s history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [email protected] , or alternatively you can discuss your individual requirements with the recruiter you are working with.