Technical Regulatory Specialist

3 weeks 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.

Technical Regulatory Specialist

SUMMARY

This is an exciting opportunity within the recently established Regulatory Risk & Oversight Office (RROO) in Asset Servicing. The Regulatory Risk & Oversight Office oversees the management of regulatory risk across Asset Servicing, which is a core business unit within Northern Trust providing Custody; Capital Markets, Banking & Treasury; and Fund Services across North America, EMEA and APAC.

The Regulatory Risk & Oversight Office design supports this mandate across four key pillars: i) Regulatory Framework & Governance, ii) Regulatory Change Oversight, iii) Regulatory Risk Management, and iv) Regulatory Strategy & Sustainability.

The Technical Regulatory Specialist supports both the Regulatory Change Oversight and Regulatory Risk Management pillars, connecting the dots across regulation applicability and compliance. The role reports to the Regulatory Framework & Governance Pillar Lead.

It provides governance and oversight of the frameworks that enable understanding of regulatory obligations, mitigation of regulatory risks and compliance with regulations applicable to Asset Servicing.

MAJOR DUTIES

  • Responsible for collaborating with regulatory subject matter peers across all Lines of Defense to strengthen understanding and rationale around regulatory interpretation and offer respectful review and challenge
  • Provides clear guidance and documentation to Asset Servicing stakeholders around initial applicability and regulatory interpretation, in alignment with corporate regulatory change management framework and process
  • Represents Asset Servicing stakeholders and the Regulatory Risk & Oversight Office at appropriate interpretation and scoping working groups, to determine Asset Servicing's actions to achieve necessary levels of compliance during regulatory implementations or remediation
  • Maintains clear documentation and audit trails around interpretation and traceability for future reference, particularly in the event of independent review by Audit, Compliance or Regulators
  • Is an individual contributor who takes ownership of activities but solicits support as needed to drive successful regulatory outcomes and fosters an environment of transparency and trust within their management hierarchy

KNOWLEDGE/SKILLS

  • Demonstrates solid domain expertise and maintains a deep understanding of new and existing regulations that may impact Asset Servicing's products and processes globally, such as FX and brokerage, AML, SEC-related, Singapore Securities and Futures Act
  • Strong attention to detail and analytical skills to collect data and find fact patterns that may drive interpretation needs
  • Clear communication to stakeholders at all levels and exhibits a clear understanding of regulatory risk management
  • Knowledge of the financial services industry, especially asset servicing, wealth management and banking, and the regulatory environment in which they operate
  • Knowledge of regulatory themes, both existing and emerging within industry

EXPERIENCE

  • 10+ years' experience in Financial Services, with a solid understanding of regulatory obligations and regulatory risk management
  • Solid understanding of products and services underpinning asset servicing, especially global markets, securities, global custody, capital markets and fund services
  • Deep understanding of resiliency, risk and control across markets and regions
  • Demonstrated experience in providing interpretation guidance in regulatory implementations and remediation

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 and apply today.

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.

Apply today and 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.

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