Specialist, Compliance
1 month ago
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.
Primarily focused on North American Capital Markets Compliance, the Specialist, Capital Markets Compliance provides support for business unit activities, including periodic and event driven reviews of regulatory requirements, new services and processes, marketing material, and new or emerging issues. Detects and advises management of potential compliance issues and recommends procedural changes.
The Specialist, Capital Markets Compliance, will support Northern Trust's CFTC-registered swap dealer in addition to Northern Trust's securities lending and FICC sponsored repo activities.
The key responsibilities of the role include:
- Acts as the main point of contact for Northern Trust's North American Securities Financing business, establishing and documenting a compliance program to support the business with applicable regulations and internal policies.
- Supports Northern Trust's Swap Dealer CCO in managing Northern Trust's CFTC/NFA swap dealer program.
- Reviews business policies, procedures, and processes to ensure alignment to regulatory requirements and expectations.
- Supports the completion of the Compliance Risk Assessment, which captures business processes and controls, and identifies control weaknesses that may be actual or potential compliance issues.
- Reviews and approves marketing materials related to securities lending and FICC sponsored repo activities.
- Performs continuous monitoring of business activities, through scheduled and ad-hoc interaction with the business unit Risk and Control team.
- Attends business unit risk council and compliance committee meetings, as appropriate.
- Remain current on new and proposed regulations that may impact that business unit, either directly or based on the clients served, supporting Northern Trust's regulatory change framework.
- Supports the enterprise with its monitoring and surveillance activities related to voice, e-communications, and transaction surveillance.
- Assists with other strategic projects as required to assist in continuing to align regional processes globally.
- 5+ years' experience in Capital Markets Compliance, Risk Management or the Financial Services Industry required.
- Experience working at a regulator preferred but not required.
- Knowledge of derivatives and securities financing transactions, including securities lending and repo/reverse repo transactions.
- Knowledge of regulations of the SEC, FRB, DOL, CFTC, or NFA.
- Experience analyzing complex regulatory requirements and supporting the implementation of significant new or amended regulations a plus.
- Strong analytical, organizational, interpersonal, verbal and written communication skills are required to analyze and summarize information.
- Strong ability to work independently and meet deadlines.
- Strong attention to detail to document and convey key compliance information.
#LI-LK2, #LI-Hybrid
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. #MadeForGreater
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 MyHRH[redacted].
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.
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