Regional Sales Practice Leader | Compliance & Coaching

Northern Trust Corp; Chicago (IL); On-site; USD 95,600 - 162,000; Full time

Job summary

Northern Trust Securities, Inc. seeks a Sales Practice Principal to supervise front-office, client-facing activities and manage Registered Associates across an assigned region. The role emphasizes compliance, coaching, and effective risk mitigation in a high-visibility environment.

The ideal candidate will have FINRA licensing, leadership experience, and a strong understanding of sales practices, regulatory requirements, and collaboration with operations, compliance and trading groups.

Qualifications

• FINRA/SEC regulations knowledge to review trade activity and ensure compliance.
• Leadership to assess partner competencies and provide guidance.
• Analytical and communication skills to summarize information.
• Organizational skills to coordinate sales practice supervision activities.

Responsibilities

• Monitor and review partner procedures for regulatory compliance and internal policies.
• Review trade activity, correspondence, and trade exception reports.
• Conduct performance management, staffing input, and on-the-job training for Registered Associates.
• Coordinate onboarding, orientation and ongoing partner development.
• Identify and resolve client complaints and audit issues.

Skills

Regulatory Knowledge

Leadership

Analytical Skills

Organizational Skills

Project Management

Education

College degree or higher

Job description

Northern Trust Securities, Inc. seeks a Sales Practice Principal to supervise front-office, client-facing activities and manage Registered Associates across an assigned region. The role emphasizes compliance, coaching, and effective risk mitigation in a high-visibility environment.

The ideal candidate will have FINRA licensing, leadership experience, and a strong understanding of sales practices, regulatory requirements, and collaboration with operations, compliance and trading groups.