Securities Compliance Examiner

About the Company

Northern Trust Corporation is a leading global financial services institution, providing investment management, asset and fund administration, banking solutions, and fiduciary services for corporations, institutions, and affluent individuals worldwide. With a heritage spanning over a century, we are committed to client success, integrity, and innovation. We empower our employees to grow professionally while contributing to a culture of excellence and ethical conduct.

Job Description

We are seeking a dedicated and meticulous Securities Compliance Examiner to join our dynamic compliance team in a hybrid work model based in Naperville, Illinois. In this critical role, you will play an integral part in ensuring Northern Trust’s unwavering adherence to a complex web of securities laws, regulations, and internal policies. You will conduct thorough examinations, identify potential risks, and contribute to the continuous development and enhancement of our robust compliance frameworks. This is an excellent opportunity for a seasoned professional with a keen eye for detail and a strong understanding of the financial regulatory landscape to make a significant impact within a leading global financial institution.

Key Responsibilities

• Conduct comprehensive compliance examinations of various business units, processes, and systems to ensure adherence to SEC, FINRA, MSRB, and other relevant securities regulations.
• Review and analyze trading activity, communications, disclosures, and other relevant data for potential violations, non-compliance, or areas of concern.
• Prepare detailed, accurate, and timely examination reports, including clear findings, practical recommendations, and robust corrective action plans.
• Collaborate effectively with legal, risk management, and business line personnel to interpret complex regulatory requirements and provide expert guidance on compliance best practices.
• Monitor new and evolving regulatory developments and assess their potential impact on the firm's operations, products, and compliance programs.
• Assist in the development, implementation, and enhancement of comprehensive compliance policies, procedures, and training initiatives.
• Respond to regulatory inquiries and requests for information in a timely and professional manner.
• Participate in special projects and initiatives related to compliance, risk management, and regulatory change.
• Maintain up-to-date knowledge of industry best practices and regulatory trends.

Required Skills

• Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field.
• Minimum of 3 years of progressive experience in securities compliance, regulatory examination, internal audit, or a related role within the financial services industry.
• Strong, in-depth understanding of U.S. federal securities laws and regulations (e.g., Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, FINRA rules).
• Demonstrated ability to interpret complex regulations, apply them to business operations, and identify potential compliance gaps.
• Exceptional analytical, problem-solving, and critical thinking skills with a meticulous attention to detail.
• Superior written and verbal communication skills, with the ability to articulate complex issues clearly, concisely, and persuasively.
• High level of integrity, professionalism, and ethical conduct.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).

Preferred Qualifications

• Relevant professional certifications (e.g., FINRA Series 7, 24, 63, 65, or 66; Certified Regulatory Compliance Manager (CRCM)).
• Master's degree or Juris Doctor (JD).
• Experience with compliance technology platforms, surveillance systems, and data analytics tools.
• Proven experience working in a large, complex, and highly regulated financial institution.
• Familiarity with international securities regulations.

Perks & Benefits

• Comprehensive health, dental, and vision insurance plans for employees and their families.
• Generous 401(k) retirement plan with competitive company matching contributions.
• Paid time off, including vacation, sick leave, and company-recognized holidays.
• Tuition reimbursement and extensive professional development opportunities to support career growth.
• Employee wellness programs and resources focused on physical, mental, and financial well-being.
• Hybrid work model offering a blend of in-office collaboration and remote flexibility.
• Employee assistance program offering confidential support and resources.
• Competitive compensation package that includes a base salary and performance incentives.
• Life and disability insurance coverage.
• Employee discount programs.

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