Founded in Chicago in 1889, Northern Trust is one of the world’s leading financial institutions. We specialise in providing asset servicing solutions and asset management to both institutional and personal clients. The delivery of products and services to this client base is supported through a network of offices in more than 40 countries around the globe.
We believe our most valuable asset is our engaged, empowered & diverse workforce. As a global institution, Northern Trust is committed to building upon this diverse talent through encouraging innovative thinking and personal courage in an inclusive environment. Northern Trust’s commitment to diversity & inclusion is evident in our internal initiatives for which we have won several globally recognised awards.
The Compliance Consultant within a Risk/Compliance team operating in a successful international Asset Management, reporting to the Head of Compliance with a focus on Portfolio Compliance.
The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role that is front office focused.
The position will provide technical research and consultation to support compliance programs and activities in all of Northern’s international units but with particular focus on Europe and within a global framework.
Acting as a partner to both Compliance team members and managers and staff in the business units, the incumbent will provide consultation and advice on regulatory matters.
The key responsibilities of the role include:
Providing technical research and consultation to support compliance programs and initiatives
Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
Implement and develop the Compliance Monitoring & Testing Program including trading practices (surveillance) and best execution monitoring.
Provide back up support to the wider compliance team as and when required, including guidelines monitoring.
Provide regulatory reporting production and/or oversight e.g. FCA Transaction Reporting, Substantial Shareholder Reporting.
Oversight of Conflicts of Interest Management e.g. code of ethics, personal account dealing, gifts and entertainment
Support regulatory inquiries and examinations
Assist in the development of compliance frameworks and related policies and procedures
Develop and implement training programs with subject matter experts, and Corporate Compliance.
Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the Department’s activities.
Attendance and reporting to various committees
Qualifications
The successful candidate will benefit from having:
Proven experience in advising and/or monitoring of asset management business
Detailed knowledge of FCA Handbook, and working knowledge of International regulations e.g. UCITS, SEC
Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards e.g. IMMFA, Money Market Fund rating providers
Analytical ability to identify and understand problems and provide effective solutions
Highly motivated individual who has a proven record of using initiative to resolve problems
Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
Excellent verbal and written communication skills
Desire to stay in front of new business/regulatory developments
Excellent organizational and analytical skills.
The competencies that would be valuable for this role include:
Communication, written and verbal
Client focused relationships
Time management
Decision making/judgement
Analytical skills
Persuading and influencing.
The Employee Experience – Life at Northern Trust.
Joining us, you would benefit from a positive work culture, where we support our employees’ efforts to balance work and home life, in part by offering access to a broad range of workplace support options including: flexible working; emergency family or child care support; professional mentoring; paid volunteering days and the opportunity to buy or sell additional leave.
Personal and professional growth – a world of opportunity.
To support our Global business strategy, we have a number of Business Resource Councils committed to promoting diversity and inclusion and supporting employees in their personal and professional growth. We provide opportunities for networking, mentoring and personal and career development across demographic and geographic groups. In 2014, these groups were responsible for a broad range of personal and professional activities including, guest speaker thought leadership, elder care, nutrition for children, stress awareness day, language classes and religious and cultural celebrations to name a few.
Interested in giving back?
Volunteerism, philanthropy, sound business practices and ethics in addition to a conservation-minded approach to protecting the environment; all are integral to Northern Trust’s culture of caring and form the foundation of our corporate social responsibility (CSR). All employees are given 2 days paid leave to volunteer and support. Take a look our CSR report on our careers site to find out more.
About Northern Trust
Northern Trust Corporation (Nasdaq: NTRS) is a leading provider of wealth management, asset servicing, asset management and banking to corporations, institutions, affluent families and individuals. Founded in Chicago in 1889, Northern Trust has offices in the United States in 19 states and Washington, D.C., and 20 international locations in Canada, Europe, the Middle East and the Asia-Pacific region.
As of December 31, 2015, Northern Trust Corporation had:
$117 billion in banking assets
$6.1 trillion in assets under custody
$875 billion in assets under management
For over 125 years, Northern Trust has earned distinction as an industry leader for exceptional service, financial expertise, integrity and innovation.
Visit our Careers Site and Talent Network at
http://careers.NorthernTrust.com
Like us on
http://Facebook.com/NTcareers
and Follow us on Twitter @NTcareers
EMEA EEO Statement
It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.
Primary Location
:
Europe, Middle East, Africa-United Kingdom-England
Work Locations
:
Canary Wharf
50 Bank Street
Canary Wharf
London
E145NT
Job
:
Risk Management/Compliance
Job Posting
:
May 11, 2016
Schedule
:
Full-time
Job Level
:
Individual Contributor
Relocation Paid?
:
No
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