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Regulatory Oversight Specialist

3 months ago

London Central, 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.

About the Role:

This is an exciting opportunity within the newly-established Global Regulatory Change, Framework & Oversight (GRCFO) team, part of the enterprise Global Regulatory Affairs Office. The GRCFO oversees the enterprise management and delivery of regulatory change, providing 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: i) Risk & Regulatory Frameworks, ii) Regulatory Change Portfolio, iii) Assurance Hub. This roles sits within 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 supports both the Risk & Regulatory Frameworks and the Regulatory Change Portfolio, contributes to the ongoing assessment of the regulatory environment by providing oversight of the enterprise regulatory initiatives, and liaising with the relevant lines of defense to ensure alignment and adherence to the firm’s Regulatory Change Framework (RCF). The role reports to a Regulatory Oversight Manager.

Regulatory Specialist will contribute to the ongoing assessment of the end-to-end Global Services regulatory environment, oversight of key regulatory initiatives and projects, and liaising with the relevant lines of defense to ensure adherence to the global regulatory change framework.

The Main Responsibilities of the Role include:

  • Proactive oversight and maintenance of the enterprise Regulatory Change Framework, monitoring of the firm’s alignment with the RCF throughout the regulatory life cycle.
  • 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
  • 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
  • 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
  • Production of relevant metrics and reporting on the effectiveness of the regulatory environment, i.e. related to regulatory change and regulatory oversight activities
  • Lead training and communications with partners to promote a robust risk and regulatory culture and reinforce risk and regulatory principles
  • Identification and/or creation of enterprise-level standards as a result of policy change or regulatory requirement

Skills/ Experience Required

  • 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
  • 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
  • Several 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

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.

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 MyHRHelp@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.

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.