Senior Investment Compliance Leader

001 The Northern Trust Company; Chicago (IL); On-site; USD 115,000 - 195,000; Full time

Benefits offered by this job

401k and pension

Health and welfare benefits

Paid time off

Parental and caregiver leave

Life & accident insurance

Discretionary bonus program

Job summary

Northern Trust is a global financial services company seeking a senior Compliance professional to oversee risk governance and advisory support for Wealth Management Investment Compliance. The role connects regulatory expectations with fiduciary obligations and guides stakeholders across investment-related processes.

You will manage performance, coordinate with Corporate Compliance on training, develop procedures, and assess compliance risks within the business unit, supporting strategic

Qualifications

• 7–10 years of investments-related experience in wealth management, asset management or other financial services.

Responsibilities

• Conducts the performance management process, identifies training and development needs, and establishes performance standards for the team.
• Oversees compliance with the code of ethics for wealth management and works with team to identify and manage conflicts of interest in the investment process.
• Supports standing investment services committees and ad hoc unit committees as appropriate.
• Provides guidance to staff and partners on applicable laws, rules and standards impacting the business.
• Implements the Corporate Compliance Program within the business unit and acts as a contact point for Corporate Compliance inquiries.
• Partners with Corporate Compliance to identify training requirements for business partners.
• Develops written procedures to comply with laws, regulations and standards.
• Identifies and escalates compliance risks to Corporate Compliance and BU management.
• Oversees completion of compliance risk assessments and assesses applicability of the company’s program.

Skills

Compliance leadership

Regulatory knowledge

Risk management

Education

Bachelor's degree

Job description

Northern Trust is a global financial services company seeking a senior Compliance professional to oversee risk governance and advisory support for Wealth Management Investment Compliance. The role connects regulatory expectations with fiduciary obligations and guides stakeholders across investment-related processes.

You will manage performance, coordinate with Corporate Compliance on training, develop procedures, and assess compliance risks within the business unit, supporting strategic