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
Financial Services / Wealth Management / Investment Compliance
Required skills
Regulatory knowledge (financial services), Investment terminology, Risk assessment, Policy development, Performance management, Conflict of interest management, Strategic planning
Preferred skills
Experience in compliance or risk management, Knowledge of trust investments and taxation
Technologies
N/A
Responsibilities
Conduct performance management and establish standards for the compliance team; Oversee compliance with code of ethics and manage conflicts of interest; Advise business partners on applicable laws and regulations; Develop written procedures to comply with regulations; Identify and escalate compliance risks; Partner with Corporate Compliance on training requirements.
Seniority
Manager, strategic execution & team leadership