ChicagoRecruiter Since 2001
the smart solution for Chicago jobs

Consultant, Compliance

Company: Northern Trust
Location: Chicago
Posted on: August 3, 2020

Job Description:

Work closely with the fund CCO to develop, administer, and update mutual fund and ETF compliance policies and procedures designed to comply with the Investment Company Act and Investment Advisers Act of 1940.

  • Assist the CCO in the development and administration of the mutual fund and ETF compliance programs; help define and develop risk parameters, implement the program and review the final reports.
  • Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs - perform testing and oversight of policies and procedures. Prepare written documentation of results for submission to the fund CCO.
  • Organize, analyze, review, and prepare deliverables for quarterly board reporting for mutual funds and ETFs. Also, review sub-adviser compliance reporting for inclusion in quarterly reporting.
  • Liaise with management and different departments regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.
  • Partner with business, operations, and legal partners to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements.
  • Coordinate or assist in regulatory examinations and/or audits and prepare information and responses to various requests.
  • Manage ad hoc projects, as needed. Qualifications
    • Minimum of 5 years of investment related experience with ETFs and mutual funds
    • Strong familiarity with the Investment Company Act of 1940
    • Strong analytical and communication skills About Northern Trust: Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Working with Us: As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve! We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and ethical companies. Build your career with us and apply today. For further information, and to apply, please visit our website via the "Apply" button below.

Keywords: Northern Trust, Chicago , Consultant, Compliance, Professions , Chicago, Illinois

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Professions Jobs


CDL-A Dedicated Walmart Truck Driver
Description: LIMITED TIME U.S. Xpress is offering NEW dedicated opportunity with an EXTRA 12,000 IN YOUR FIRST YEAR for experienced drivers -- 1000 PAID EVERY MONTH Get HOME DAILY if you live (more...)
Company: US Xpress
Location: Elkhart
Posted on: 08/12/2020

Amazon Warehouse Attendant Full-time with Benefits
Description: Amazon remains open as an essential business to serve our communities delivering critical supplies directly to the doorsteps of people who need them. Find out what Amazon is doing to provide a safe environment (more...)
Company: Amazon
Location: Wheaton
Posted on: 08/12/2020

CDL-A Truck Driving Job - 3 Months Experience Needed!
Description: You Choose Your Lane Dedicated: customer relationships, regular routes, and great pay Regional: balanced home and road life, regular
Company: C.R. England
Location: Elkhart
Posted on: 08/12/2020


Warehouse Operator Part-time
Description: Start as soon as 7 days. Additional Full Time Opportunites Available. Join us now br br Amazon remains open as an essential business to serve our communities delivering critical supplies directly (more...)
Company: Amazon
Location: Wheaton
Posted on: 08/12/2020

CDL-A Dedicated Truck Driver - Home Weekly + $4k Sign-On Bonus
Description: Attention CDL-A truck drivers who want more home time and never make under 1,100/week 4,000 Sign-On Bonus Paper Transport PTI , has an exciting CDL-A dedicated truck driver opportunity that offers (more...)
Company: Paper Transport - PTI
Location: Mishawaka
Posted on: 08/12/2020

Seasonal Warehouse Operator Immediate Openings
Description: Seasonal Warehouse Operator Immediate Openings - AmazonAmazon remains open as an essential business to serve our communities delivering critical supplies directly to the doorsteps of people who need them. (more...)
Company: Click To See Company Name
Location: Wheaton
Posted on: 08/12/2020

OTR CDL-A Team Drivers - Doubles Req'd - Teams Avg 62-68 CPM
Description: LIMITED TIME Dedicated Openings for CDL A Team Drivers Now EARN AN EXTRA 12,000 SIGN ON BONUS/split Earn 1000 per driver in first 6 months Teams Avg 62 - 68 CPM -- Teams drive newer equipment (more...)
Company: US Xpress
Location: Mishawaka
Posted on: 08/12/2020

Students & Recent CDL-A Truck Driver Grads
Description: After just four weeks in our driver program, you can begin earning guaranteed home time higher mileage rates CDL-A student truck drivers who have recently graduated from a certified CDL school can begin (more...)
Company: NTB Trucking
Location: Mishawaka
Posted on: 08/12/2020

Warehouse Operator
Description: Start as soon as 7 days. Additional Full Time Opportunites Available. Join us now br br Amazon remains open as an essential business to serve our communities delivering critical supplies directly (more...)
Company: Amazon
Location: Wheaton
Posted on: 08/12/2020

CDL-A OTR Dry Van Drivers - $80+ 1 Year EXP (Wheaton,IL)
Description: I'm in GOOD COMPANY.Top 50 of drivers average 81k. I know if I have availability, Crete has the freight. James D., Crete Driver CDL-A Truck Driver JobEarn Up to 80,000 per year or more COAST TO COAST (more...)
Company: Crete Carrier Corporation
Location: Wheaton
Posted on: 08/12/2020

Log In or Create An Account

Get the latest Illinois jobs by following @recnetIL on Twitter!

Chicago RSS job feeds