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Alternatives, Inc
Chicago, IL, United States
Job Type Full-time Description Compliance Specialist Reports To : Compliance Administrator Status : Full Time; Exempt with benefits: Blue Cross Medical/Dental/Vision, 403(b) retirement plan, Holidays, 4 weeks Paid Time Off, 10 weeks paid Parental leave Salary : $53,560 Alternatives Overview: Our mission is to inspire young people to create
Job Source: Alternatives, IncWWEX Group
Chicago, IL, United States
Posted Friday, April 26, 2024 at 5:00 AM SUMMARY/OBJECTIVE The Compliance Specialist manages the due diligence and risk management responsibilities needed to ensure that carriers utilized by GlobalTranz meet GlobalTranz’s compliance standards. ESSENTIAL FUNCTIONS Reasonable accommodations may be made to enable individuals with disabilities to per
Job Source: WWEX GroupNorthern Trust
Chicago, IL, United States
About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our e
Job Source: Northern TrustRHM Staffing Solutions
Oak Brook, IL, United States
For years RHM Staffing Solutions has been providing the highest quality technical professionals to a wide range of industries and clients. RHM Staffing Solutions is a leading provider of technical, professional and engineering recruiting and staffing services. RHM Staffing Solutions has a long history of customized recruiting and placement solution
Job Source: RHM Staffing SolutionsWorldwide Express
Chicago, IL, United States
SUMMARY/OBJECTIVE The Compliance Specialist manages the due diligence and risk management responsibilities needed to ensure that carriers utilized by GlobalTranz meet GlobalTranz's compliance standards. ESSENTIAL FUNCTIONS Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Analyze
Job Source: Worldwide ExpressNorthern Trust
Chicago, IL, United States
About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our end
Job Source: Northern TrustLoyola University of Chicago Inc
Chicago, IL, United States
Position Details Job Title Compliance Specialist Position Number 8102529 Job Category University Staff Job Type Full-Time FLSA Status Exempt Campus Rogers Park-Lake Shore Campus Department Name OFFICE OF RESEARCH SERVICES Location Code OFFICE OF RESEARCH SERVICES (02500A) Is this split and/or fully grant funded? No Duties and Responsibilities The
Job Source: Loyola University of Chicago IncLoyola University
Chicago, IL, United States
Position Details Position Details Job Title Compliance Specialist Position Number 8102529 Job Category University Staff Job Type Full-Time FLSA Status Exempt Campus Rogers Park-Lake Shore Campus Department Name OFFICE OF RESEARCH SERVICES Location Code OFFICE OF RESEARCH SERVICES (02500A) Is this split and/or fully grant funded? No Dutie
Job Source: Loyola UniversityChicago, IL, United States
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Primarily focused on North American Capital Markets Compliance, the Specialist, Capital Markets Compliance provides support for business unit activities, including periodic and event driven reviews of regulatory requirements, new services and processes, marketing material, and new or emerging issues. Detects and advises management of potential compliance issues and recommends procedural changes.
The Specialist, Capital Markets Compliance , will support Northern Trust's CFTC-registered swap dealer in addition to Northern Trust's securities lending and FICC sponsored repo activities.
The key responsibilities of the role include:
Acts as the main point of contact for Northern Trust's North American Securities Financing business, establishing and documenting a compliance program to support the business with applicable regulations and internal policies.
Supports Northern Trust's Swap Dealer CCO in managing Northern Trust's CFTC/NFA swap dealer program.
Reviews business policies, procedures, and processes to ensure alignment to regulatory requirements and expectations.
Supports the completion of the Compliance Risk Assessment, which captures business processes and controls, and identifies control weaknesses that may be actual or potential compliance issues.
Reviews and approves marketing materials related to securities lending and FICC sponsored repo activities.
Performs continuous monitoring of business activities, through scheduled and ad-hoc interaction with the business unit Risk and Control team.
Attends business unit risk council and compliance committee meetings, as appropriate.
Remain current on new and proposed regulations that may impact that business unit, either directly or based on the clients served, supporting Northern Trust's regulatory change framework.
Supports the enterprise with its monitoring and surveillance activities related to voice, e-communications, and transaction surveillance.
Assists with other strategic projects as required to assist in continuing to align regional processes globally.
The successful candidate will benefit from having: 5+ years' experience in Capital Markets Compliance, Risk Management or the Financial Services Industry required.
Experience working at a regulator preferred but not required.
Knowledge of derivatives and securities financing transactions, including securities lending and repo/reverse repo transactions.
Knowledge of regulations of the SEC, FRB, DOL, CFTC, or NFA.
Experience analyzing complex regulatory requirements and supporting the implementation of significant new or amended regulations a plus.
Strong analytical, organizational, interpersonal, verbal and written communication skills are required to analyze and summarize information.
Strong ability to work independently and meet deadlines.
Strong attention to detail to document and convey key compliance information.
#LI-LK2, #LI-Hybrid
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
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 sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [email protected].
We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Email Alert for Specialist, Compliance jobs in Chicago, IL, United States
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
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