Sales Practice Leader: Regulatory Compliance

Northern Trust; Chicago (IL); On-site; USD 96,000 - 162,000; Full time

Benefits offered by this job

401k

Health benefits

Paid time off

Parental leave

Life insurance

Bonus program

Job summary

Northern Trust in Chicago is seeking a first-line Sales Supervision leader for the retail broker-dealer. You will supervise daily front office activities and manage Registered Associates, ensuring adherence to FINRA and SEC rules while mentoring staff and driving compliant performance. The role requires strong regulatory and supervisory expertise, excellent communication, and the ability to assess complex situations.

Location options include Chicago at 50 S. LaSalle or other U.S.

Qualifications

• FINRA and SEC regulations knowledge to review trade activity and ensure compliance.
• Leadership to assess partner competencies and provide guidance.
• Analytical and communication skills to analyze and summarize information.
• Organizational skills to coordinate supervision activities.
• Project management to plan and deliver innovative NTSI solutions.

Responsibilities

• Monitor and review partner procedures for regulatory compliance.
• Review trade activity, correspondence, and reports.
• Conduct performance management and provide training to Registered Associates.
• Integrate business unit with firm initiatives and teamwork.
• Stay up to date with current and pending regulations.

Skills

Leadership

Analytical

Communication

Organizational

Project management

Regulatory knowledge

Education

Bachelor's degree

Job description

Northern Trust in Chicago is seeking a first-line Sales Supervision leader for the retail broker-dealer. You will supervise daily front office activities and manage Registered Associates, ensuring adherence to FINRA and SEC rules while mentoring staff and driving compliant performance. The role requires strong regulatory and supervisory expertise, excellent communication, and the ability to assess complex situations.

Location options include Chicago at 50 S. LaSalle or other U.S.