NT
Northern TrustConsultant, Compliance – Sanctions
Compliance Consultant advising business partners on Compliance programs and applicable regulations at Northern Trust. Engaged in risk assessments and providing guidance to senior management.
About the role
- Coordinate and respond to regulatory complaints, exams and inquiries by collecting information, drafting responses and ensuring timely, accurate submissions that meet all regulatory requirements
- Collaborate with internal business areas, legal, and compliance teams to investigate issues, validate information and support continuous improvement of regulatory response process
- Support the development and maintenance of procedures, templates and reports related to regulatory engagement and oversight activities
- Receive notifications regarding new or revised regulations and take action to implement policies, procedures, processes and forms to support the business line
- Communicate and support changes to field, internal staff and other affected areas
- Participate in periodic audits and maintain document of compliance processes
- Performs compliance reviews, enterprise assessments and policy/procedure reviews as directed
- Actively identify risks to the business, products, work and associates
- Participates in the preparation of regulatory filings and/or forms to meet business needs and comply with the substance and language requirements of regulatory authorities in all states
Requirements
- Bachelor's degree in Business, Insurance or related field or an equivalent work experience
- 0-3 years of relevant experience
- Ability to understand regulations and compliance issues and apply understanding to effect sound design of sound procedures
- Problem solving, decision making and multi-tasking abilities
- Appetite to learn, general business acumen
- Ability to work in a team environment
- Effective communication and organizational skills
Benefits
- medical
- dental
- vision
- employee assistance program
- life insurance
- disability plans
- parental leave
- paid time off
- 401k
- tuition reimbursement
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NT
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