![Northern Trust](https://media.trabajo.org/img/noimg.jpg)
Sr. Compliance Officer, Asset Management
3 weeks ago
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.
50 South Capital Advisors, LLC ("50 South") is a global alternatives investment firm that provides differentiated solutions and access to private equity, private credit and hedge fund investment opportunities. 50 South currently has aggregate assets under management and assets under administration of approximately $12 billion.
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. The person in this role will work closely with 50 South's Board, the Alpha Fund board, Northern Trust partners in the business unit and risk management, as well as internal and external counsel, to proactively administer and maintain a comprehensive compliance program. This position is part of Northern Trust's Asset Management ("NTAM") Compliance team, led by the Head of Compliance for Asset Management.
Location for this role will be in Stamford, CT or Chicago, IL
The key responsibilities of the role include:
* Provide compliance oversight and monitoring over key affiliated and unaffiliated service providers to 50 South and the Alpha Strategies Fund, including sub-funds, and their compliance policies and procedures.* Assist with quarterly board reporting and the annual 206(4)-7 and 38a-1 reports.* Support the CCO with the oversight and administration of the various components of the adviser compliance program e.g. testing, monitoring, surveillance, policies and procedures, incident reporting, marketing materials review, control documentation.* Identify and monitor conflicts of interest.* Support the CCO in with the SEC on regulatory matters affecting 50 South and the Alpha Strategies Fund.* Effectively work with internal business unit, risk management, and legal functions, as well as the 50 South and the Alpha Strategies Fund Boards and outside counsel, to administer and maintain a comprehensive compliance program, provide advice and problem solve regarding applicable laws, regulations, rules, and standards, including informing them of developments or changes that may affect their area and working with them to implement effective compliance programs.* Manage a team member focused on 50 South.
The successful candidate will benefit from having:
* Extensive knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and other securities laws.* Ability to effectively present to the 50 South and the Alpha Strategies Fund Boards and Northern Trust executive officers within Asset Management and earn their respect and trust.* Experience interacting with regulators and auditors and leading regulatory exams.* Analytical and communication skills required to review laws/regulations, assess their impact, and work with affiliated and unaffiliated service providers to monitor, review, and/or implement any necessary policies, procedures, processes, and controls.* Must be a self-starter, able to work both independently and as part of a team.* Exceptional written, verbal, and interpersonal communication skills.* Strong leadership and organizational skills, commitment to change and to teaching the next generation of leaders in compliance.* Bachelor's degree required; advanced degree or JD preferred.* 5 + years as a compliance professional, ideally at least 5 years supporting an alternatives asset management compliance program that includes Investment Company Act requirements.* Experience working at a regulator a plus.
#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 MyHRHelp@ntrs.com.
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.
#J-18808-Ljbffr
-
Sr. Compliance Officer, Asset Management
2 weeks ago
Chicago, Illinois, United States Northern Trust Full timeAbout 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...
-
Sr. Compliance Officer, Asset Management
3 weeks ago
Chicago, Illinois, United States Northern Trust Full timeAbout 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...
-
Sr. Compliance Officer, Asset Management
4 weeks ago
Chicago, United States Northern Trust Full timeAbout 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...
-
Sr. IT Asset Management, HYBRID
1 month ago
North Chicago, United States Connection Full timeOverview Connection Services has a fantastic opportunity through our managed services division for an Sr IT Asset Management Analyst working a hybrid model in North Chicago, IL. Opportunity to work for a top VAR with excellent benefits including 3 weeks paid PTO, and excellent benefits; Opportunity for growth. *Hybrid*, 3 days a week. Accountable for overall...
-
Sr. IT Asset Management, HYBRID
3 weeks ago
North Chicago, United States Connection Full timeOverview Connection Services has a fantastic opportunity through our managed services division for an Sr IT Asset Management Analyst working a hybrid model in North Chicago, IL. Opportunity to work for a top VAR with excellent benefits including 3 weeks paid PTO, and excellent benefits; Opportunity for growth. *Hybrid*, 3 days a week. Accountable for overall...
-
IT Asset Management
3 weeks ago
Chicago, United States Northern Trust Full timeAbout 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...
-
Sr. Technical Product Analyst
4 weeks ago
Chicago, United States McDonald's Corporation Full timeJob DescriptionJob Summary This opportunity is part of the Global Technology Infrastructure & Operations team (GTIO), where our mission is to deliver modern and relevant technology that supports the way McDonald’s works. We provide best-in-class foundational technology products and services including Global Networking, Cloud, End User Computing, and IT...
-
Compliance Officer
2 weeks ago
Chicago, United States Origin Harbor Capital Solutions Full timeSUMMARY - Harbor Capital Advisors, Inc. (“Harbor Capital”) is an investment management firm headquartered in Chicago, Illinois. Harbor Capital’s mission is to _curate the most innovative active strategies and solutions from around the globe to inspire and empower people to invest better for the financial security they deserve._ We primarily utilize a...
-
Sr. Technical Product Analyst
1 month ago
Chicago, United States McDonald's Full timeMcDonald’s evolving Accelerating the Arches growth strategy puts our customers and people first, and uses our competitive advantages to strengthen our brand. We are recognized on lists like Fortune’s Most Admired Companies and Fast Company’s Most Innovative Companies.Doubling Down on the 4Ds (Delivery, Digital, Drive Thru, and Development)Our growth...
-
Sr. Technical Product Analyst
4 weeks ago
Chicago, United States McDonald's Full timeMcDonald’s evolving Accelerating the Arches growth strategy puts our customers and people first, and uses our competitive advantages to strengthen our brand. We are recognized on lists like Fortune’s Most Admired Companies and Fast Company’s Most Innovative Companies.Doubling Down on the 4Ds (Delivery, Digital, Drive Thru, and Development)Our growth...
-
Asset Manager
3 weeks ago
Chicago, United States Verano Full timeJob Summary As an Asset Manager at Verano, you will be responsible for overseeing all aspects of our physical assets, including facilities, equipment, and infrastructure. You will play a crucial role in maximizing the efficiency, productivity, and longevity of our assets while ensuring compliance with industry regulations. Essential Duties and...
-
Compliance Officer
2 weeks ago
Chicago, United States Robert Half Full timeWe are seeking a highly skilled and motivated Compliance Officer to join our team. The Compliance Officer will play a critical role in ensuring that our trading activities comply with regulatory requirements and internal policies. This position offers the opportunity to work in a dynamic and fast-paced environment, collaborating with traders, developers, and...
-
Chicago, United States Northern Trust Asset Servicing Full timeJob Description: Sr. Consultant, Energy Trading Support Department: Global Operations Summary: Northern Trust Hedge Fund Services is a rapidly expanding Global fund administrator, specializing in administering assets of complex hedge funds. This position requires specialized knowledge of Energy trading Gas & Power in the European and the North American...
-
Compliance Officer
1 week ago
Chicago, Illinois, United States Origin Harbor Capital Solutions Full timeSUMMARY Harbor Capital Advisors, Inc. ("Harbor Capital") is an investment management firm headquartered in Chicago, Illinois. Harbor Capital's mission is to _curate the most innovative active strategies and solutions from around the globe to inspire and empower people to invest better for the financial security they deserve._ We primarily utilize a...
-
Senior Manager, Technical Product Manager
1 month ago
Chicago, United States McDonald's Corporation Full timeJob Description This opportunity is part of the Global Technology Infrastructure & Operations team (GTIO), where our mission is to deliver modern and relevant technology that supports the way McDonald’s works. We provide best-in-class foundational technology products and services including Global Networking, Cloud, End User Computing, and IT Service...
-
Sr. Regulatory Compliance Engineer
3 weeks ago
Chicago, United States Acciona Full timeACCIONA Energa is the biggest 100% renewable energy company with no fossil legacy in the world. With more than 30 years of experience and operations in 20 countries on five continents, ACCIONA Energa offers a wide portfolio of tailored energy solutions so that its corporate and institutional clients can meet their decarbonisation goals. This includes the...
-
Portfolio Manager
2 weeks ago
Chicago, Illinois, United States Aegon Asset Management Full timeJob Description SummaryCompany Overview:Aegon Asset Management (Aegon AM) is a leading global investor. Our 375 investment professionals manage and advise on assets of US $306 billion for a global client base of pension plans, public funds, insurance companies, banks, wealth managers, family offices and foundations. We organize our firm around four...
-
Chicago, United States Northern Trust Asset Servicing Full timeJob Description: Sr. Consultant, Energy Trading SupportDepartment: Global OperationsSummary: Northern Trust Hedge Fund Services is a rapidly expanding Global fund administrator, specializing in administering assets of complex hedge funds. This position requires specialized knowledge of Energy trading Gas & Power in the European and the North American...
-
Chicago, United States Northern Trust Asset Servicing Full timeJob Description: Sr. Consultant, Energy Trading Support Department: Global Operations Summary: Northern Trust Hedge Fund Services is a rapidly expanding Global fund administrator, specializing in administering assets of complex hedge funds. This position requires specialized knowledge of Energy trading Gas & Power in the European and the North American...
-
Chicago, United States Northern Trust Asset Servicing Full timeJob Description: Sr. Consultant, Energy Trading SupportDepartment: Global OperationsSummary: Northern Trust Hedge Fund Services is a rapidly expanding Global fund administrator, specializing in administering assets of complex hedge funds. This position requires specialized knowledge of Energy trading Gas & Power in the European and the North American...