Ensure that the team deliver on the relevant aspects of the Compliance Framework i.e. rule mapping, completion of a Compliance Risk Assessment, provision of compliance advice and monitoring
Daily interaction with the management of the EMEA Capital Markets and Treasury businesses, providing proactive and pragmatic advice on interpretation of new/existing UK and EU regulation;
Actively participate in business initiatives/projects, acting as the primary compliance representative on steering committees/working groups;
Member of the EMEA Compliance Senior Leadership Team, actively contributing to the running of the department;
Provide SME input into any required dedicated training for the businesses;
Manage the Capital Markets and Treasury compliance team, sharing technical knowledge and experience with team members so as to establish and maintain a credible and high performing team that is able to execute both advisory and assurance responsibilities.
Engaging with US and APAC Compliance partners
Managing key business stakeholders effectively
The individual would be the CF10 for the brokerage business.
The successful candidate will benefit from having:
Experience of having advised at an executive management level within global brokerage/trading/securities lending/ transition management environments;
Proven track record of building and managing diverse teams;
Managed and implemented key regulatory initiatives;
Experience of dealing with senior manager / key stakeholders with the ability to persuade and influence at all levels;
Proven ability to work effectively with multiple competing deadlines;
Good project management skills with track record of project delivery;
Designed and implemented compliance control frameworks.
The competencies that would be valuable to this role include:
Persuading and influencing
Focused internal client relationships
About Northern Trust
For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world's most-sophisticated clients - from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.
We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion.
As of December 31, 2018, Northern Trust Corporation had:
$10.1 trillion in assets under custody/administration
$7.6 trillion in assets under custody
$1.1 trillion in assets under management
$132 billion in banking assets
Internal Number: 5628734
About Northern Trust
eFinancialCareers is a career site specializing in financial services.