Senior Compliance Consultant Asset Management

Job Description

About Northern Trust: Northern Trust provides innovative financialservices and guidance to corporations, institutions and affluent families andindividuals globally. With 130 years of financial experience and nearly 20,000partners, we serve the worlds most sophisticated clients using leadingtechnology and exceptional service. As a Northern Trust employee (Partner), you will bepart of a flexible and collaborative work culture, which has a strong historyof financial strength and stability. Movement within the organization isencouraged, senior leaders are accessible, and you can take pride in workingfor a company that is committed to strengthening the communities we serve.We recognize the value of inclusion and diversityin culture, in thought, and in experience, which is why Forbes ranked us thetop employer for Diversity in 2018. Role / Department: The role is for a Senior Compliance Consultant,based in London. The individual will work within a regional Compliance teamoperating in a successful international Asset Management business, reporting tothe Asset Management EMEA Head of Compliance. The role is engaging, hands-on and offers excellentexposure to someone looking to develop their career in an assetmanagement-based compliance role. The role will be supporting the Head ofCompliance in providing technical research and consultation on regulatorymatters to support compliance programs and activities focusing on EMEA. Theindividual may be asked to support the wider compliance team as necessary andact as a partner to both Compliance team members and managers and staff in thebusiness units. The key responsibilities of therole include: Analyse and provide technical research andconsultation to support risk and compliance programs and initiativesProvide regulatory reporting interpretive adviceand/or oversight e.g. MIFIR trade and transaction reporting, EMIR,SFTR.Support and further develop the functionscompliance monitoring program and management information dashboards, including:conduct monitoring, trading practices and best execution monitoring.Support Conflicts of InterestManagement Support regulatory inquiries andexaminationsProvide timely and accurate regulatory andcompliance advice to business partnersWork proactively with business contacts andmanagement to identify and implement practical and efficientsolutionsDevelop and maintain compliance frameworks andrelated policies and proceduresDevelop and implement training programs withsubject matter expertsProvide project support as requiredSupport the department in the identification,planning and execution of the departments activities.Provide back up support to the wider complianceteam as and when required, e.g. review of marketing materials, monitoringactivityAttendance and reporting to relevantcommittees Skills / Qualifications: The successful candidate will benefit fromhaving: Experience in advising and/or monitoring of assetmanagement business Working knowledge of International regulationse.g. FCA MiFID, UCITS, SEC,CBI, etcWorking knowledge of FCA client moneyrulesRegulatory trade reporting including: MiFIR tradeand transaction reporting; EMIR, SFTR etcPrior experience of UCITS fund structuresincluding ETFs.Exposure to cross-border regulatory frameworks andrulesUnderstanding of investment management productsand services and knowledge of securities, cash and derivatives marketinstrumentsAnalytical ability to identify and understandproblems and provide effective collaborative solutionsHighly motivated individual who has a provenrecord of using initiative to resolve problemsExcellent verbal and written communicationskillsExcellent organizational and analyticalskills.Working with Us: Wed love to learn more about how your interestsand experience could be a fit with one of the worlds most admired and ethicalcompanies. In return, we will support you with your personal and career goalsin a number of ways: Financial - LifeAssurance, Disability Plan, Pension/ Gratuity, Annual Pay ReviewWork Life Balance -Flexible Work Options, Incremental Annual Leave, Community VolunteerDaysHealth & Wellbeing -Private Medical Insurance, Active Sports & Social clubs (lunchtime andafter-work groups), Employee Assistance ProgramProfessional Development -Clear Career Path, Education Assistance, Recognition Programme, NT University(wide range of online, virtual & in-house training options) andemployee-led Business Resource Councils dedicated to diversity and inclusioninitiatives.And Finally We hope youre excited about the role and theopportunity to work with us. We value an inclusive workplace and understandflexibility means different things to different people. Apply today and talk to us about your flexibleworking requirements and together we can achieve greater. For further information, and to apply, please visitour website via the "Apply" button below.