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Regulatory Risk
4 months ago
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.
Role
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, including establishing a centralized and sustainable connection point for global regulatory communications, ensuring preparedness for examinations.
The Regulatory Risk & Oversight Manager will lead key pillars of the Program, which involves delivery of critical strategic enterprise capabilities that impact multiple business units and disciplines. This role is responsible for executing against the Pillars and supporting the creation of a blueprint for how Northern Trust manages compliance and legal risk with a particular focus on risk and rules inventories, rule applicability and rule mapping linking into Compliance Risk Assessments.
Principal Responsibilities
The key responsibilities of the role include:
- Responsible for supporting the definition and leading the execution against the identified pillars of the Program as a named Program Lead.
- Over time identifying and managing a small global team who will enable execution of the new frameworks, working closely with third party consultants and legal advisors.
- Collaborating with stakeholders across all lines of defense, multiple business units and senior management to identify and create effective and sustainable solutions for managing compliance and legal risk
- Lead Working Group meetings to support transformation and maintains efficient and appropriate governance to enable successful outcomes
- 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.
- 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.
- Ability to communicate effectively with developers, data architects and infrastructure resources to ensure there is a clear and concise understanding of requirements and acceptance criteria to ensure the frameworks and operating model are technology enabled.
- Help shape best practices, standards and toolkit and strengthen our capabilities around compliance and legal risk.
Skills / Experience
Required Skills / Experience
- Deep understanding of regulatory, compliance and risk related matters.
- Demonstrated experience in transformation or remediation strategy and execution linked to technology enablement.
- 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, 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.
- Demonstrated ability to manage third parties such as consultants and support the tracking of financial expenses and performance against budget.
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.
Reasonable accommodation
We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understan
