Global Head of Wealth Management Compliance

Northern Trust
Chicago
Workplace: OnsiteFull timeUSD 171,700 - 300,500Function: Legal, Risk & ComplianceExperience: 15+ yearsEducation: bachelorsSkills: ["Strategic thinking","Analytical skills","Judgement","Communication","Leadership"]

Lead and execute the compliance strategy for the firm’s global wealth management business. Partner with the Global Chief Compliance and Ethics Officer to enhance the end-to-end compliance program across regulatory compliance, conduct risk management, and financial crimes (AML/sanctions). Oversee global policies, controls, monitoring, quality assurance, and regulatory engagements, while advising executive leaders and driving a high-performing, globally distributed compliance team.

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FursaFursa
Northern Trust
Northern Trust
4 months ago

Global Head of Wealth Management Compliance

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Job Summary

Lead and execute the compliance strategy for the firm’s global wealth management business. Partner with the Global Chief Compliance and Ethics Officer to enhance the end-to-end compliance program across regulatory compliance, conduct risk management, and financial crimes (AML/sanctions). Oversee global policies, controls, monitoring, quality assurance, and regulatory engagements, while advising executive leaders and driving a high-performing, globally distributed compliance team.
Location: Chicago
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Develop and execute the global wealth compliance strategy aligned with business objectives, regulatory expectations, and risk appetite.
  • •Lead and enhance the end-to-end global wealth compliance program, including conduct risk management and financial crimes compliance (AML, sanctions).
  • •Oversee the effectiveness of policies, controls, monitoring, and quality assurance across the wealth business; ensure risk identification, testing, and mitigation.
  • •Serve as primary compliance point of contact for regulators and lead exam/inquiry remediation and regulatory reporting.
  • •Lead and develop a high-performing, globally distributed compliance team and support governance, training, and succession planning.

Pay and Benefits

Salary: USD 171,700 - 300,500
Perks:401kPensionHealth InsuranceDentalVisionPaid LeaveParental LeaveLife InsuranceDisability

Key Requirements

  • •15+ years of progressive compliance experience.
  • •Deep knowledge of global regulatory frameworks (SEC, FRB, FCA, PRA, MAS).
  • •Strong understanding of compliance risk management, conduct risk, and financial crimes compliance.
  • •Proven ability to influence regulators, boards, and executive leadership.
  • •Bachelor’s degree required; JD, MBA, CAMS, or other advanced qualifications preferred.
Experience:15+ yearsWealth management
Education:Bachelor's
Skills:Strategic thinkingAnalytical skillsJudgementCommunicationLeadership
Certifications:CAMS

Company Brief

Northern Trust
Global financial services firm providing wealth management, asset servicing, asset management, and banking solutions to institutions, corporations, and affluent individuals, with a focus on custody, investment management, and technology-driven services.
Industry: Asset Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Chicago, United States
Founded: 1889
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