Sales Practice Principal

Northern Trust

Sales Practice Principal managing day-to-day client-facing activities and compliance within retail brokerage at Northern Trust. Requires extensive industry knowledge and experience with regulatory supervision.

Posted 7/30/2026full-timeChicago • Arizona, Florida, Illinois • 🇺🇸 United StatesLead💰 $95,600 - $162,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance monitoring, regulatory adherence, and performance management within the financial services industry. Proven ability to train and develop staff while maintaining strong relationships across operations and compliance teams.

Highest-signal resume keywords

FINRA Securities Industry Essentials (SIE)Compliance ManagementPerformance ManagementSupervisory ExperienceClient Complaint Resolution

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceTrade Activity ReviewAudit Issue ResolutionCareer Development ProcessesOnboarding and Training

Soft Skills

Team CollaborationRelationship ManagementHands-On Training

Certifications & Qualifications

FINRA Series 7FINRA Series 66FINRA Series 24FINRA Series 4FINRA Series 53

Industry Keywords

Financial ServicesSales PracticesRegulatory RequirementsInternal PoliciesClient Complaints

About the role

Key responsibilities & impact

Monitors and reviews procedures and practices of partners to ensure compliance with applicable regulatory requirement, industry sales practices and adherence to internal policies.
Review of trade activity, correspondence and trade exception reports.
Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to Registered Associates.
Integration of business unit within firm initiatives and the furtherance of teamwork.
Stays up to date of current and pending laws, regulations, and rules governing the industry.
Coordinates partner development to include onboarding, orientation and ongoing training.
Identifies, escalates and resolves client complaints and audit issues.
Maintains relationships with and works to collaborate with operations, compliance and trading groups.

Requirements

What you’ll need

FINRA Securities Industry Essentials (SIE), 7 or 7TO, 66, 24, 4, and 53 or 52 & 53TO registrations required or willingness to acquire within specified time
Minimum three years of experience, preferably in compliance or supervision; or equivalent financial services industry related experience
Previous management or supervisory experience
A college or university degree and/or 5-10+ years of relevant work experience

Benefits

Comp & perks

retirement benefits (401k and pension)
health and welfare benefits (medical, dental, vision, spending accounts and disability)
paid time off
parental and caregiver leave
life & accident insurance
discretionary bonus program that may include an equity component