Specialist, Regulatory Validation

1 month 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.

Role/ Department:

Specialist, Regulatory Validation and Relations/Internal Audit Services

Audit Services is offering an exceptional opportunity for an experienced audit professional who is keen to apply their knowledge and experience in the Regulatory Validation and Relations team. This position will report directly to the Director in London and work closely with partners from across Audit Services located in Chicago and other global locations.

The Specialist, Regulatory Validation and Relations is responsible for defining and ensuring the successful execution and delivery of validation approaches through engagement with all levels of management from across Audit Services, businesses and control functions. This high-profile role engages with senior members of Northern Trust and will support the Director as a primary point of contact for Audit Services regulatory issue remediation assurance activities. The Specialist will play a key role in communicating, training and supporting stakeholders and audit partners to understand and apply the validation methodology, as well as looking to continually improve our processes. This seasoned professional provides functional expertise, and execution rigor to the management and coordination of regulatory issue validation. A strong and confident communicator, the Specialist promotes a collaborative approach to enhance the risk and control environment for the organization.

The key responsibilities of the role include:
  • Manage complex and multiple project objectives concurrently including resourcing, workpaper review and ensuring timely completion
  • Manage project resources to accomplish complex scopes of work and objectives in tight timeframes
  • Identify any emerging risks and react quickly
  • Interact with a wide range of stakeholders, including senior management and regulators
  • Represent Audit Services in various committees, task forces, etc.
  • Lead, guide, and coach staff, and foster an environment which encourages partner participation, teamwork, and communication
  • Working with subject matter experts, other audit teams and co-sources to define and delivery validation approaches
  • Draft clear, concise audit reports and/or memos ensuring timely communication of risks and audit conclusions to senior and executive management.
  • Maintain familiarity of and technical expertise with business unit(s) organizational structure, personnel, activities and products, new product development, financial performance, and risk and problem areas
  • Stay current on regulatory rules and changes within the industry

Skills/Qualifications:

  • Bachelor's degree
  • Extensive experience within the banking/financial services sector or similar public accounting experience in the financial services industry, including several years internal audit experience
  • Experience with regulatory engagement
  • Excellent oral and written communication skills (e.g., ability to communicate both with junior staff and senior leaders, executive writing)
  • Strong critical thinking, analytic, leadership and organizational skills
  • Ability to proactively assess issues, identify solutions and problem solve
  • Ability to develop relationships with diverse groups and various levels of personnel
  • Ability to work autonomously and make sound business judgments in resolving complex issues
  • An ability to work in a fast paced environment as part of a global audit team

The successful candidate will benefit from having:

  • CPA, Charted Financial Analyst, and/or Certified Internal Auditor designations

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 at

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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