Analyst, Business Unit Compliance (Wealth Management)

This role will support the Wealth Management (WM) Investment Compliance team within the WM National Investment Practice. The primary focus will be on personal security transaction monitoring, under the WM Code of Ethics, and will support other general investment compliance oversight. Under general supervision this role will provide support for business unit activities, including:

1.Review and monitor business unit procedures, practices and other activities to assure compliance with applicable policies and regulatory requirements.

2.Provide business unit input and functional knowledge as it relates to compliance with applicable laws, rules and standards.

3.Respond to internal and external inquiries and requests for information to clarify impact on the business unit of the various regulatory requirements. May update appropriate procedural changes.

4.Identifies and escalates to BU management any regulatory compliance risks associated with the business units activities.

5.Researches and assists in the development of reports and solutions for issues being addressed by the Business Units as assigned by Corporate Compliance and by BU Management.

6.Participates in all applicable training.

7.Carries out business-related activities that may be required to support Corporate Compliance guidelines.

8.Provides support to actions assigned by Corporate Compliance and BU Management as necessary to resolve compliance issues, including actions in response to Regulatory exam findings.

Qualifications

• 3-5 years of related experience
• Knowledge of financial services businesses and the applicable laws and regulations is preferred to review and monitor business function compliance procedures and policies
• Analytical and communication skills required to analyze and summarize information.
• Organizational skills required to coordinate business unit compliance-related activities.

About Northern Trust:

Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally.With more than 130 years of financial experience and over 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

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 that is committed to strengthening the communities we serve!