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Compliance Governance

3 months ago

Chicago, Illinois, United States Northern Trust Full time

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

The Global Regulatory Affairs Office (GRAO) is responsible for overseeing the enhancement of our risk management and controls, remediation of regulatory and audit findings and the administration of regulatory affairs. This Compliance Governance & Policy Manager role sits within the GRAO with primary responsibility for providing leadership and subject matter expertise across a multi-year regulatory and risk program. This role will report into the Program Sponsor for compliance and legal risk.

The Compliance Governance & Policy Manager will lead key pillars of the Program, which involves delivery of critical strategic enterprise capabilities for compliance and legal risk governance, policies, and standards, which connect into Northern Trusts rule and obligation applicability, Rule Inventory and Risk Inventory.

The ideal candidate will have a track record of leading complex projects and transformation, with deep compliance and risk knowledge and working with diverse, cross-functional teams and stakeholders across the organization.

The key responsibilities of the role include:

  • Responsible for supporting the definition and leading the execution for the Governance and Policy workstreams for compliance and legal risk as a named Program Lead, within the Program.
  • Over time managing a small global team who will enable execution of the new frameworks.
  • Support Second Line of Defense (2LOD) compliance and legal risk management to develop and maintain governance oversight of issues of non-compliance, including escalation to the Global Enterprise Risk Committee. This will include working closely with Risk, Compliance, Legal and the First Line of Defense (1LOD) subject matter experts and delegated / connected governance fora.
  • Work with Risk, Compliance and Legal subject matter experts to develop and maintain policies, standards, guidelines etc that can then be operationalised by 1LOD to develop controls to efficiently achieve risk management goals and policy objectives.
  • Lead Working Group meetings to support transformation of and maintains efficient and appropriate governance to enable successful outcomes.
  • Assist in developing, design, implementation, and support compliance and legal risk management framework, including but not limited to: Risk governance and controls, organization structure, policies, and procedures, three lines of defense, risk measures and metrics (risk appetite and limits, monitoring and escalation)
  • Manage the pillars and deliverables with a forward-looking mindset, i.e., proactively anticipate any potential issues, prevent them and/or define pragmatic contingency plans.
  • Maintain familiarization and technical expertise across the firm including regulatory change, organizational structure, personnel, activities and products, new product development, financial performance and risk and problem areas.
  • Develop and control deadlines and activities pertaining to the supported pillars.
  • Proactively manage dependencies, 'reusable assets' (components of the solution that have been already built elsewhere), roadblocks and learning points (i.e., milestones defined to resolve any uncertainty that the team might be dealing with).
  • Timely escalate and relentlessly pursue resolution of any roadblocks with a clear, end-to-end ownership mindset.
  • Help shape best practices, standards and toolkit and strengthen our capabilities around compliance and legal risk.

Required Skills / Experience

  • Deep understanding of regulatory, compliance and risk related matters.
  • Demonstrated experience in governance and policy transformation or remediation strategy
  • Proven leadership skills and able to build a high-performing team with remote management.
  • Knowledge of the financial services industry, especially asset servicing, wealth management and banking, and the regulatory environment in which they operate including regulatory themes emerging within industry.
  • Great skills across communication (written and verbal), facilitation, interpersonal, conflict resolution, team building, coaching members on practices, framework, ability to teach/train etc.
  • Ability to establish trust-based relationships with stakeholders across enterprise, lead them towards common objectives and managing upwards and downwards (e.g., experience with acting as a constructive conduit between business and non-business teams).
  • Strong problem-solving skills, organizational skills and time management skills.
  • Proficiency in Microsoft Word, Excel, and PowerPoint and Governance, Risk & Compliance solutions such as Service Now

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve Join a workplace with a greater purpose.

We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies Build your career with us.

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at

We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Talk to us about your flexible working requirements and together we can achieve greater.

For further information, and to apply, please visit our website via the "Apply" button below.