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EMEA Brokerage Compliance

4 months ago

London, United Kingdom 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.

Role / Department

The Capital Markets business at Northern Trust is one of the fastest-growing areas of our asset servicing business. Core products are brokerage, FX, securities lending & transition management. However, the product roadmap is full including additional asset classes & markets, securities financing & sponsored repo. The compliance team that supports and oversees the business is a vital part of our control function & forms a solid partnership with the business whilst maintaining its own independence as a part of the second line of defence. Key regulations are MIFID II, MAR, EMIR, SFTR & CSDR as well as the various rules from each relevant national authority.

This team sits within the regional compliance & financial crime function. Northern Trust is currently seeking a Senior Consultant, Compliance to focus on our EMEA Brokerage business and this role will report into the head of International Capital Markets Compliance.

Major Duties

  • Primary day-to-day compliance resource for our EMEA Brokerage business.
  • Advisory activities including responding to question from first line & clients & liaison with legal, risk, testing & audit.
  • Engagement with Capital Markets EMEA Senior Leadership on new initiatives and projects.
  • Provide mentoring and guidance to the rest of the EMEA Capital Markets Compliance team.
  • Attendance at relevant governance meetings and committees covering EMEA region such as Best Execution Council.
  • Regulatory Development Monitoring for the EMEA brokerage business including analysis and socializing with first-line stakeholders.
  • Business Process and Change Development Monitoring.
  • Compliance Risk Framework Management including maintaining the rule maps & risk assessments.
  • Regular reporting, MI & escalations.
  • Carry out and report on compliance monitoring and surveillance activities across the range of EMEA business and activities, ensuring timely and effective escalation of any findings.
  • Coordinate with Business Unit Advisory Officers and compliance colleagues providing centralized support in the Corporate Compliance and Global Surveillance teams, on monitoring and surveillance activities.
  • Engage in other ad hoc compliance projects in support of the Capital Markets and Treasury business units.

Skills & Experience

Candidate must have:

  • Previous brokerage experience and knowledge, preferably within a global financial institution and with sales/trading desk advisory experience (primarily covering Securities with derivatives knowledge a plus).
  • Excellent stakeholder management skills.
  • Experience of carrying out compliance monitoring activities in a financial markets business.
  • A good understanding of regulatory systems and controls in a financial markets business and a demonstrable knowledge of trading systems and trading data.
  • Demonstrable knowledge of core financial markets regulations applicable to sales and trading activities; in particular MiFID II, MAR, and the FCA’s Conduct of Business rules.
  • Excellent data interrogation and analysis skills and a high degree of comfort working with large data sets.
  • Good level of skill with Excel and/or other data analysis tools; good business-level knowledge of PowerPoint.
  • Excellent communication (verbal and written) and interpersonal skills, and demonstrable experience of working collaboratively, and as part of team.
  • Experience in interfacing and communication with all levels of staff
  • Previous experience in dealing with regulators across broad range of issues
  • Work in partnership with risk, compliance, and control team colleagues regionally / globally, including sharing of information and knowledge
  • Take responsibility for EMEA Brokerage policies and procedures for the regional brokerage business, including those for internal Compliance use
  • Develop and conduct training as required
  • Develop, execute, and deliver compliance-related projects.
  • Ability to think laterally and solve problems, and to assess regulatory risk in a proportionate and business-appropriate way.
  • Good organizational skills and proven ability to meet deadlines and produce detailed compliance monitoring reports and escalations in a timely manner.

Desirables

  • Previous exposure to CFTC Swap Dealer compliance requirements for FX.
  • Previous exposure to Securities Financing and Securities Lending compliance requirements.

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 atMyHRHelp@ntrs.com.

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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