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Regulatory Oversight Specialist

2 months ago

Chicago, Illinois, United States Northern Trust Full time
About Northern Trust

Northern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we provide innovative financial services and guidance to the world's most successful individuals, families, and institutions.

We are committed to delivering exceptional service, expertise, and integrity in all our endeavors. With over 130 years of financial experience and a team of over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Global Regulatory Change, Framework & Oversight (GRCFO) Team

The GRCFO team is responsible for overseeing the enterprise management and delivery of regulatory change. We provide governance and oversight of the frameworks that enable understanding of regulatory obligations, mitigation of regulatory risks, and compliance with applicable regulations.

The GRCFO design supports this mandate across three key pillars: Risk & Regulatory Frameworks, Regulatory Change Portfolio, and Assurance Hub.

Regulatory Oversight Specialist Role

This exciting opportunity is part of the Regulatory Change Portfolio pillar, a high-functioning team focused on enterprise-wide regulatory change, enterprise-wide self-identified validation and/or remediation, covering both financial and non-financial risk deliveries.

The Regulatory Oversight Specialist will support both the Risk & Regulatory Frameworks and the Regulatory Change Portfolio, contribute to the ongoing assessment of the regulatory environment by providing oversight of the enterprise regulatory initiatives, and liaise with the relevant lines of defense to ensure alignment and adherence to the firm's Regulatory Change Framework (RCF).

Key Responsibilities
  1. Proactive oversight and maintenance of the enterprise Regulatory Change Framework, monitoring of the firm's alignment with the RCF throughout the regulatory life cycle.
  2. Liaison with stakeholder groups across all lines of defense through regulatory considerations and developments, and ownership of relationships with Compliance, Risk, and Legal during the regulatory change process and implementation of enterprise regulations.
  3. Oversight of the regulatory portfolio with a focus on operational readiness and traceability to minimize regulatory risk and enable effective handover to impacted functional owners.
  4. Representation of the RCF and GRCFO at relevant internal regulatory forums and leading specific enterprise and/or legal entity-specific forums to discuss and review impacts of regulations on those areas.
  5. Production of relevant metrics and reporting on the effectiveness of the regulatory environment, i.e., related to regulatory change and regulatory oversight activities.
  6. Lead training and communications with partners to promote a robust risk and regulatory culture and reinforce risk and regulatory principles.
  7. Identification and/or creation of enterprise-level standards as a result of policy change or regulatory requirement.
Requirements

The ideal candidate will have:

  • 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.
  • Flexibility and adaptability to change, with the appetite to continually enhance/strengthen status quo.
  • Ability to influence and persuade others (e.g., peers, partners, senior management, and external parties) to implement change, strategy, and decision making in a diverse and matrix environment.
  • Ability to connect the dots across functional lines and think creatively.
  • Excellent analytical skills, with the ability to identify problems, develop, and communicate strategic solutions.
  • Track record of delivering to tight deadlines.
  • Excellent communication skills (both written and oral) to interact and manage expectations with senior-level audiences, stakeholders, and management.
  • A strong and proven ability to analyze, break down, and explain complex issues in non-technical language.
  • Interprets internal/external business challenges and recommends best practices to improve products, processes, or services.
  • Communicates difficult concepts and negotiates with others to adopt a different point of view.
  • 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.
Experience

The ideal candidate will have 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 understanding of regulatory change process in Financial Services organizations and the impact of regulation on operational matters.