Compliance Marketing and Advertising Review Specialist

Northern Trust Asset Management (NTAM) Compliance Consultant As a senior member of the Marketing Compliance team, you will advise business partners, including senior management, on compliance programs and applicable laws, regulations, rules, and standards. You will review marketing materials for compliance with regulations such as SEC 206(4)-1, SEC 482, and FINRA 2210, monitor procedures to ensure regulatory adherence, respond to inquiries, recommend procedural changes, and participate in training and communication initiatives.
Responsibilities Review marketing materials for compliance with applicable rules and laws.
Lead by example as a senior analyst on the Marketing Compliance team and assist in team development.
Monitor and review partners’ procedures and practices to assure regulatory compliance.
Advises business partners on compliance programs and keep them informed of regulatory changes.
Respond to internal and external inquiries to clarify regulatory requirements.
Recommend procedural changes and document compliance risks.
Research and develop analytical reports for department issues.
Participate in training partners and deliver communications on applicable laws and regulations.
Coordinate and/or perform activities related to designated compliance initiatives.
Serve as a lead on projects and develop project management skills in collaboration with the team manager.
Qualifications Advanced knowledge of applicable laws and regulations, preferably acquired through formal education or experience.
Exceptional analytical and communication skills.
Strong organizational skills for coordinating compliance activities.
5-7 years of related experience.
Salary & Benefits Salary Range: $114,700 - 194,900 USD (base pay estimate).
Benefits include a comprehensive package with retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts, and disability), paid time off, parental and caregiver leave, life & accident insurance, voluntary and well‑being benefits, and a discretionary bonus program that may include an equity component.
EEO Statement Northern Trust is an Equal Opportunity Employer. The company does not discriminate in hiring, promotions, or any other employment decisions based on race, color, religion, national origin, gender, age, disability, or other legally protected characteristics.

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