Manager, Investment Compliance - Wealth Management
Core
Senior compliance professional overseeing investment compliance, risk management, and policy governance for Northern Trust's Wealth Management Investment Practice.
Role type
Manager, Investment Compliance
Builds
Compliance risk oversight, policy/procedure governance, and strategic execution for wealth management investment processes.
Domain
Wealth Management / Financial Services Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Investment compliance, regulatory knowledge, risk assessment, policy development, performance management, conflict of interest management, stakeholder advisory
Preferred skills
Experience in asset management, knowledge of trust investments and taxation, ability to guide sensitive situations
Technologies
N/A
Responsibilities
Conduct performance management and establish standards for the compliance team; oversee code of ethics and conflict of interest management; advise business partners on laws and regulations; implement corporate compliance programs; identify and escalate compliance risks; develop written procedures for regulatory compliance.
Seniority
Manager, strategic execution & team leadership