Financial Specialist Salary in Illinois, USA

Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC, The Chicago Trust Company N.A., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $50 billion in assets.Wintrust is a financial holding company with approximately $50 billion in assets under management and traded on the NASDAQ: WTFC. Built on the "HAVE IT ALL" model, Wintrust offers sophisticated technology and resources of a large bank while focusing on providing service-based community banking to each and every customer. Wintrust operates fifteen community bank subsidiaries with over 170 banking locations in the greater Chicago and southern Wisconsin market areas. Additionally, Wintrust operates various non-bank business units, including commercial and life insurance premium financing, short-term accounts receivable financing, out-sourced administrative services, mortgage origination and purchase, wealth management services, and qualified intermediary services for tax-deferred exchanges.Why join us?An award-winning culture! We are rated a Top Workplace by the Chicago Tribune (past 8 years) and Employee Recommended award by the Globe & Mail (past 6 years)    Competitive pay and discretionary or incentive bonus eligibleComprehensive benefits package including medical, dental, vision, life, a 401k plan with a generous company match, and tuition reimbursement, to name a fewFamily-friendly work hoursPromote from within cultureWhy join this team? We offer advisors the best of both worlds—the technology, products, benefits, and business development opportunities of a large corporation as well as the supportive culture, reputation for personal service, and lasting client relationships of a boutique firmWe hold ourselves to the highest standards of service and integrity in the industryWe have a strong reputation for quality service and impeccable ethicsWhat You'll DoBuild rapport and professional relationships with clients, prospects, and colleaguesBe committed to client retention, client recruiting, and superior customer serviceGather assets for fee-based and traditional brokerage accountsGo on calls with clients and potential clientsMaintain a high level of compliance with FINRA, SEC, and firm rules and regulationsMeet sales quotasAssess client's overall financial picture, truly understand their needs and then develop a relevant, solid financial planOversee the course of financial plans and updating it if necessary, to ensure profitsCultivate our client base and build win-win relationshipsAdhere to compliance with all industry rules and regulationsAdminister presentations for new prospects and referralsWork collaboratively with other team membersIdentify and deepen relationships with clients and potential clientsPossess knowledge of a wide array of financial products and servicesKeep up on new industry trends and research the market to back up financial consulting decisionsNetwork, generate leads and seize opportunities to sell mutual funds, stocks, bonds, etcOther duties, as they ariseQualificationsSeries 7, 66 or 63 and 65Proven work history with experience as a financial advisor, planner, specialist or another relevant roleConsistent track record of successful financial guidanceAbility to analyze the market data in order to formulate and provide appropriate, data-based financial adviceSolid communication, negotiation, and presentation skillsAttention to detail and consistent accuracy with all dataHighly articulate and able to explain complex information clearly and simplysSelf-motivatedStrong working knowledge across a variety of financial products and services (debt management, cash management, insurance coverage, investments, etc.)Medical Insurance • Dental • Vision • Life insurance • Accidental death and dismemberment • Short-term and long term Disability Insurance • Parental Leave • Employee Assistance Program (EAP) • Traditional and Roth 401(k) with company match • Flexible Spending Account (FSA) • Employee Stock Purchase Plan at 5% discount • Critical Illness Insurance • Accident Insurance • Transportation and Commuting Benefits • Banking Benefits • Pet InsuranceEEOC StatementFrom our first day in business, Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To be Chicago’s Bank and Wisconsin's Bank, we need to reflect that diversity both in all the communities we serve, the people we employ, the organizations we work with, and our banking and lending practices. Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.

Meta is seeking a highly motivated, organized, detail-oriented candidate to assist the Payments Compliance Team as an Investigator on the Transaction Monitoring Team. The Transaction Monitoring team manages reviews of platform transaction activity for potential red flag identification and regulatory reporting. The Investigator will be reporting to the Transaction Monitoring Team Lead and will be acting as a point of escalation and a subject matter expert. They will work collaboratively with other members of the Transaction Monitoring Team, additional Payments Compliance teams, as well as cross-functional stakeholders including but not limited to Legal, Product, Engineering, Risk, and Finance. This role will require investigations into customer activities across multiple platforms to identify any potential transaction risks, taking appropriate actions on accounts, documenting findings, and escalating any material risks. A Transaction Monitoring Investigator is expected to complete ad hoc investigations, and support Transaction Monitoring projects, as necessary, to help create innovative and scalable Transaction Monitoring processes and systems. In addition, they will help the Payments Compliance Team ensure compliance with policies, procedures, and internal controls. Financial Investigation Unit (FIU) Transaction Monitoring Investigator Responsibilities: Promote a culture of compliance and ensure efficient and effective risk and compliance management practices are adhered to.Ensure second line of defense Transaction Monitoring case determinations are appropriately made, fully supported, and clearly documented.Apply thorough investigative techniques to second line of defense Transaction Monitoring reviews for our products, which may lead to regulatory report filings.Validate second line of defense Suspicious Activity Report (SAR) and/or Suspicious Transaction Report (STR) forms against internal documentation and supporting evidence for accuracy prior to filing with FinCEN or other international agencies.Apply analytic techniques to second line of defense complex cases to make logical and supported recommendations.Produce timely and accurate information for FIU Transaction Monitoring Team Lead or management team to assist in decision making processes, including escalating any investigative issues or program gaps.Support second line of defense ad-hoc investigations and projects, as needed.Provide insights and recommendations on improving quality or how to reach optimal efficiency in current processes. Minimum Qualifications:Bachelor's Degree3+ years' experience in compliance or internal control function at a financial services organizationExperience conducting AML Transaction Monitoring investigations, including SAR filing responsibilities, with proven record of high productivity and qualityExperience managing daily case assignments Preferred Qualifications:Certified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE) certifications, or similarExperience communicating to different levels in an organizationExperience working in a team environment with a track record of building relationships and working collaboratively About Meta: Meta builds technologies that help people connect, find communities, and grow businesses. When Facebook launched in 2004, it changed the way people connect. Apps like Messenger, Instagram and WhatsApp further empowered billions around the world. Now, Meta is moving beyond 2D screens toward immersive experiences like augmented and virtual reality to help build the next evolution in social technology. People who choose to build their careers by building with us at Meta help shape a future that will take us beyond what digital connection makes possible today-beyond the constraints of screens, the limits of distance, and even the rules of physics. Meta is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics. We also consider qualified applicants with criminal histories, consistent with applicable federal, state and local law. Meta participates in the E-Verify program in certain locations, as required by law. Please note that Meta may leverage artificial intelligence and machine learning technologies in connection with applications for employment. Meta is committed to providing reasonable accommodations for candidates with disabilities in our recruiting process. If you need any assistance or accommodations due to a disability, please let us know at [email protected].

Position SummaryAvantax Planning Partners is seeking a Financial Planning Consultant that will service a book of business provided by Avantax Planning Partners (APP). The Financial Planning Consultant will be responsible for growing this book over time through leads and referrals from CPAs affiliated with Avantax Planning Partners. The Financial Planning Consultant will also partner with a Financial Service Assistant (FSA) who will offer operational support, allowing the Financial Planning Consultant to focus on the financial needs of clients. The goal is to procure business for Avantax Planning Partners, by identifying prospects and partnering with our Planning Team to deliver a clear pathway for clients to achieve financial independence. The Financial Planning Consultant has a wide array of solutions to offer clients, a few would include:Various Tax-Smart StrategiesFinancial PlanningRetirement PlanningInsurance OptionsEssential Duties & ResponsibilitiesBuild and maintain deep relationships and rapport with affiliate CPA firms.Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.Partner with Client Development Specialists who create plans for the CPAs to identify leads, and opportunities for existing clients and prospective clients.Develop Investment Policy Statements with CPAs and clients, and determine client needs and appropriate solutions.Coordinate paperwork with the support of the Financial Service Assistant to open new accounts.Meet with clients and CPAs as needed to present proposed solutions, complete paperwork, and follow through on processes.Provide reports to clients, CPAs, and Avantax Planning Partners in a timely and accurate manner.Develop profitable new business relationships through client reviews, with a focus on gathering assets under management and selling appropriate insurance products.Initiate proactive calls daily, to prospects, and existing clients to initiate new business development and grow assets under management.Provide analysis to company CPAs on investment, insurance, and annuity products as needed.Provide effective communication of financial concepts to clients and make recommendations.Maintain knowledge of industry developments and changes.Conduct workshops for clients as prospecting and servicing tools.Work toward continuous quality improvement.Stay current with changing technology, including software and financial programs.Uphold, support, and promote all company policies and procedures.Education & ExperienceTo perform this job successfully, the Financial Consultant must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the minimum knowledge, skills, and ability required.Bachelor's degree (B.A.) from a four-year college or university.Minimum of two years of related experience and/or training.Experience with MS Excel and Word, and the internet, required.Experience with a financial planning software program(s) preferred.Certificates, Licenses, Registrations:Required: FINRA Series 7/66, or 63/65 combo.Preferred: CFP certification.Preferred: Insurance licenses, including Life, Health, and Long-term Care in some states.Completion of ongoing Continuing Education credits is required.A valid Driver's License is required.Physical Demand & Work EffortKeying/typing, standing, walking.Sitting for an extended period.Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.Compliance with company attendance standards.Comprehensive BenefitsWe offer a competitive salary, and an outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.#Avantax

Position SummaryAvantax Planning Partners is seeking a Financial Planning Consultant that will service a book of business provided by Avantax Planning Partners (APP). The Financial Planning Consultant will be responsible for growing this book over time through leads and referrals from CPAs affiliated with Avantax Planning Partners. The Financial Planning Consultant will also partner with a Financial Service Assistant (FSA) who will offer operational support, allowing the Financial Planning Consultant to focus on the financial needs of clients. The goal is to procure business for Avantax Planning Partners, by identifying prospects and partnering with our Planning Team to deliver a clear pathway for clients to achieve financial independence. The Financial Planning Consultant has a wide array of solutions to offer clients, a few would include:Various Tax-Smart StrategiesFinancial PlanningRetirement PlanningInsurance OptionsEssential Duties & ResponsibilitiesBuild and maintain deep relationships and rapport with affiliate CPA firms.Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.Partner with Client Development Specialists who create plans for the CPAs to identify leads, and opportunities for existing clients and prospective clients.Develop Investment Policy Statements with CPAs and clients, and determine client needs and appropriate solutions.Coordinate paperwork with the support of the Financial Service Assistant to open new accounts.Meet with clients and CPAs as needed to present proposed solutions, complete paperwork, and follow through on processes.Provide reports to clients, CPAs, and Avantax Planning Partners in a timely and accurate manner.Develop profitable new business relationships through client reviews, with a focus on gathering assets under management and selling appropriate insurance products.Initiate proactive calls daily, to prospects, and existing clients to initiate new business development and grow assets under management.Provide analysis to company CPAs on investment, insurance, and annuity products as needed.Provide effective communication of financial concepts to clients and make recommendations.Maintain knowledge of industry developments and changes.Conduct workshops for clients as prospecting and servicing tools.Work toward continuous quality improvement.Stay current with changing technology, including software and financial programs.Uphold, support, and promote all company policies and procedures.Education & ExperienceTo perform this job successfully, the Financial Consultant must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the minimum knowledge, skills, and ability required.Bachelor's degree (B.A.) from a four-year college or university.Minimum of two years of related experience and/or training.Experience with MS Excel and Word, and the internet, required.Experience with a financial planning software program(s) preferred.Certificates, Licenses, Registrations:Required: FINRA Series 7/66, or 63/65 combo.Preferred: CFP certification.Preferred: Insurance licenses, including Life, Health, and Long-term Care in some states.Completion of ongoing Continuing Education credits is required.A valid Driver's License is required.Physical Demand & Work EffortKeying/typing, standing, walking.Sitting for an extended period.Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.Compliance with company attendance standards.Comprehensive BenefitsWe offer a competitive salary, and an outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.#Avantax

Who are we looking for?Roles will be focused on a very high level of Customer Support by helping in creation of account, migrating data from one platform to another, facilitate collection of documentations, triaging and back office coordination in a well-known bank. Analyst will be responsible for supporting Client Service Transfer and process the request per defined bank guidelines and mandates. Ability to work in a team environment, highly goal oriented with excellent verbal and written communication and interact with internal stakeholders to identify and resolve any issues/ dependencies and track the activity to closureExperience: 5+ years of experience as a Junior Banker/Relationship Specialist or a thorough Call Center Professional having interacted and catered to high-net-worth clientsFunctional Skills:Review and understand the requestAssess documentation and approval requirementsManage activities through instruction via internal portals with external clients and internal stakeholders such as banker and connect via email, chat and phone calls as necessaryEnsure documentation conforms to the Bank's guidelines and standardsManage assigned transfer cases and follow up / escalate per defined processEnsure all applicable approvals are secured and the request is executedPlay the role of a Junior Banker/Relationship SpecialistHigh-touch relationship managementCreate client conversation scripts, criteria and supplemental materialsPerform client outreach (calls, email, meetings), coordination, and associated reporting and trackingPerform migration data entry for manual conversions including client entitlement set up and supportInteract with Bank and clients to facilitate collection of documentationTrack surge support weekly and forecast monthly to help you determine ongoing surge support needsProvide information for client training team to create materials and for client training team to hold trainingsTechnical / Non-Technical Skills:Thorough knowledge and understanding of Treasury Management and Payment ProductsExhibit critical thinking and a higher degree of negotiation and dispute resolution skillsDemonstrate ability to simplify and communicate complex technical proceduresHands on approach mindset.Provide White Glove ServiceStrong English Speaking skills.Need strong analytical skills and ability to think laterallyAttention to detail and proactiveStrong communication and interpersonal skills (Written and Verbal)Effectively collaborates and communicates with to ensure client satisfactionDetail oriented, while still providing reliable and consistent results. Dependable problem-solving skills.Having any experience in migration activities will be preferred.Who are we?Mphasis is a leading IT solutions provider, offering Applications, Business Process Outsourcing (BPO) and Infrastructure services globally through a combination of technology knowhow, domain and process expertise. Over the years we have left an indelible impression in the IT solutions domain with an impressive clientele and an extensive global presence. The accolades we have been garnering can be attributed to our undeterred focus in delivering quality solutions across verticals that meet the challenging requirements of our esteemed customers. Our integrated solutions offering is aimed at creating value for our customers, helping them in improving their business processes with minimum hassles and capital outlays.

Financial Consultant (Commission only-1099 with residual income 2nd year, No immigration sponsorship )We are looking to hire 10 highly talented individuals to join our Team as Financial Advisors.We will start interviewing May 27th and plan to make all selections on June 17th*Commission only-1099 role*During the selection process you will be expected to meet with the Director of Recruitment, Managing Director, Associate Managing Director, and Associate Director of Development.If you believe your purpose revolves around educating others to improve, sustain or grow their wealth we ask that you submit your resume for consideration.(Similar to owning a business, which is based on revenue generated. This is NOT a salary position)About usAt Northwestern Mutual Financial Representatives strive to understand their clients' goals and visions to uncover financial solutions that put them on a path to achieve their financial objectives. Our Financial Representatives are professionals who come from varying backgrounds and experiences to build rewarding practices and relationships with our clients. As you excel in your career our Advisors are supported by our network of specialists, training programs and mentoring opportunities to help their clients and to build practices.Our website: https://www.northwesternmutual.com/office/il/hyde-park/87809909/Financial Advisors at Northwestern Mutual Chicago help their clients live more and worry less through our personalized approach to financial planning. As a business owner, they spend their days acquiring clientele and finding financial solutions with help from our industry-leading training, mentors, and products. Discover your earning potential, craft a workday around your life, and make an impact every day. Here, hard work pays off.Our award-winning training equips you with the education, skill-building, and development strategies you need to be successful and confident in this career. With additional access to nationwide mentors and leaders, we will surround you with resources to help in your financial expertise, including but not limited to: Personal Planning Analysis - Asset & Income Protection - Education Funding - Investment & Advisory Services - Trust Services - Retirement Solutions - Business Needs AnalysisAs a Northwestern Mutual Financial Advisor:1. Build-Work to build a client base by growing relationships with your network and develop knowledge of NM financial products and market trends.2. Educate-Educate yourself beyond training through sponsored licensing and registration as well as ongoing development. Use assistive software, reporting tools, and illustrations to educate clients on potential plans.3. Influence- Presenting clients with the opportunity to protect and prosper, you will drive clients to action through expert influence and recommendations.4. Own-Take ownership of development and management of the business as you master your craft and build a team. Review and maintain client financial plans, continuing to provide optimum advice for your clients' needs.Compensation & Benefits• Commission structure to support early development• Renewable income• Bonus programs and expense allowances• Support for insurance licensing, SIE, Series 6, Series 63, CFP®, and more• Retirement Package and Pension Plan• Medical, Dental, Vision, Life Insurance and Disability Income Insurance• Family PlanningYou could be right for this opportunity if you have:• 4-year degree; or equivalent professional work experience• Entrepreneurial ambitions, or a desire to own something that you can past down to family someday.• History of success in sales, athletics, military, client services, or client-facing roles• Excellent time-management skills• Desire for continuous learning• Legal authorization to work in the US without ever needing sponsorship. Leaving a lasting legacy for generations to come. The desire to be compensated based on how hard your work not based on how someone feels about you.Pay rangeExact compensation may vary based on skills, experience, and location.Income range (Similar to owning a business, which is based on revenue generated. This is NOT a salary position)Revenue average1-4year| $92,597/yr - $183,762/yr5+yrs| $740,000-$2,434,435Featured benefitsEmployer-providedMedical insuranceVision insuranceDental insurancePension planDisability insurance401(k)Flexible scheduleHealth insuranceHealth savings accountLife insuranceParental leaveProfessional development assistanceCompensation package:1099 contractBonus opportunitiesWeekly schedule:Monday to FridayWork setting:In-personIn the fieldOfficeEducation:Bachelor's (Preferred)

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.Risk SpecialistAsset Servicing Risk Management is seeking a senior-level candidate with experience in financial services, including custody, fund administration, banking and capital markets. The Risk Specialist role will focus on risk assurance and advise on material change such as new products, systems, business, data/digitalization, and regulation. The role has a global remit to provide review and challenge and advise on risk policy adherence and appetite assessment. As a Risk Specialist in our Asset Servicing Risk Management team, you will have the opportunity to collaborate globally across the Asset Servicing business unit and corporate functions. We value team players with understanding of risk management concepts, strong technical writing and verbal communication skills. You will need strong leadership skills and an understanding of the global financial markets, risk standards, and risk governance frameworks and policies. As part of Risk Management, you are at the center of keeping Northern Trust strong and resilient.In addition, the Risk Specialist will advise senior management on opportunities to enhance the design and operating effectiveness of the internal control environment for Northern Trust's risk management practices. The key responsibilities of the role include: Risk advisor to the Business on material change activity (e.g. new product, new business, new vendor etc.), including initial high-level views and channeling to appropriate risk evaluation and governance processesEngagement with business strategy ensuring a strong awareness and understanding of growth, product development and client prospectsRisk assessment of material incidents and issues, including a review and challenge of the Business's risk evaluation processProvide independent risk reporting Support Corporate Risk in their development of risk frameworks and programs, and be an escalation for the Business and Corporate Risk ownersKey member of Business Unit run risk forumsSupport client engagement regarding risk framework and escalation if arisesMonitor regulatory updates and provide team with guidance on impact of changes in regulatory environmentInteracts, partners and presents to Senior and Executive Management to understand the risks/challenges within the business, business changes and other significant events that could significantly affect the firm or adherence to regulatory requirements and risk appetiteMaintains familiarization and technical expertise across the firm including organizational structure, personnel, activities and products, new product development, technology and data workstreams, financial performance and risk, and other areas as appropriate.Communicates with partners at all levels, developing and presenting recommendations on operations and controls The successful candidate will benefit from having: Knowledge of Asset Servicing, Asset Management, Fund Services at a strategic and product / operational levelStrong evaluation skills and ability to provide risk advice on a broad range of issues, initiatives and scenariosStrong analytical, problem-solving and communication skills to apply to all levels of an organization and in particular, at risk forumsUnderstanding of project management and portfolio management techniques and methods, including change management principleAbility to establish trust-based relationships with stakeholders across enterprise and lead them towards common objectives across teamsAbility to develop hypotheses and make quick decisions in an agile environmentFlexible and adaptable to change Expertise Required: Bachelor's Degree or commensurate Risk Management experienceBusiness and/or Operational experience in areas such as Asset Servicing, Fund Servicing, Asset Management, or TradingRisk advisory roles in change projects - new product, new business, business expansion.Strong communication and organization skillsDemonstrated ability to collaborate cross-functions to achieve measurable resultsAbility to manage and prioritize multiple requests at the same timeProficiency in Microsoft Word, Excel, and PowerPoint 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. #MadeForGreaterReasonable 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.

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. #MadeForGreaterReasonable 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.

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.This is a Specialist role with the Asset Management Finance team.Major responsibilities include:Finance lead supporting the Global Institutional Client Group (GICG) within Asset Management. This individual will partner closely with the GICG leadership team and business partners to support financial analysis of the business.Lead analysis of new business opportunities and overall organic growth, including ownership of the sales incentive accrual process.Play an active role in analyzing the financial performance of the NTAM business overall. This individual will own processes end-to-end with an eye toward how we leverage technology to work more effectively, incorporating automation into what we do.Ownership of key reporting deliverables for monthly and quarterly cycles. This will include materials put together for the NTAM Executive team, the Northern Trust CFO and Corporate MRP&A, as well as the Management Group.Successful candidate will benefit from having:Degree in Finance or Accounting preferred, but other relevant degrees will be considered7+ years in a financial analyst role or similar role with proven experience in accounting, reporting and financial analysis.Financial services industry knowledge strongly preferred but not required.Advanced Microsoft Excel skills required. Proficiency with BI tools (e.g., Power BI) and financial applications (e.g., COGNOS, Hyperion, TM1) strongly preferred.Excellent verbal and written communication skills, including management reporting and presentation experience.Strong analytical skills and attention to detail.Highly adaptable to change with exceptional organization and time management skills.Previous experience driving strategic and tactical process improvement initiatives is highly desirable.#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. #MadeForGreaterReasonable 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.

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.We are looking for a Specialist Business Architect in Northern Trusts' Asset Servicing business. The role of Specialist Business Architect is a senior role within the team. The successful candidate will have responsibilities across 4 competencies: Provide a bridge between strategy & execution: Stay connected with industry developments. Deliver assessments that inform strategy & support improved decision making. Collaborate with other architecture practices to lead the development of best practice and ensure consistency across the wider Asset Servicing business. The key responsibilities of the role include: Business Architect on large strategic initiatives, working across the business architecture methodology. Facilitate workshops to support delivery of the Definition, Assessment and Design phases: responsible for the production of Business Architecture artifacts in all phases. Provide oversight and mentoring of other Business Architects on assignments where multiple resources are required.Responsible for creating & maintaining business architecture blueprints and applying business architecture techniques to deliver assessments Support the team in continuing to enhance Business Architect methods and processes; includes collaboration with other teams helping to establish a more enterprise wide standard. Participate in Industry groups / Trade Associations and track regulatory, market and economic trends and changes. Evaluate the impacts on Northern Trusts strategy, projects and processes. Skills / Qualifications Background in Securities Services / Financial Services with a good overall understanding of the relevant functions and processes within Custody including Trade & Settlements, Entitlements, Tax and Cash Experience within an Architecture type role, on a variety of large and complex related projects impacting capabilities within Securities Services / Financial Services Experience of working in a change environment, with knowledge of project management ( Agile would be beneficial ) and business analysis practices. Experience with process mapping and process re-engineering including use of business process modelling tools. Experience applying Domain Driven Design and Scaled Agile principles would be beneficial.#LI-MG1#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. #MadeForGreaterReasonable 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.