Senior Manager, Regulatory Compliance

3 weeks ago

London, United Kingdom Pontoon Full time

Manager, Core Framework Compliance

Reports to the Head of Global Framework Compliance, this role is responsible for managing a multi-discipline team that maintains and oversees the delivery of the Compliance Framework disciplines of Regulatory Change Management, Compliance Rule Mapping, Compliance Risk Assessments and Compliance Monitoring. Compliance Framework looks to ensure a deep understanding of and adherence to the in-scope disciplines of Compliance Framework by Regulatory Entity and (Global) Practice Compliance officers globally. This manager in Compliance Framework also oversees the maintenance of Northern Trust governance documents database (OneBook) as well as Compliance-owned governance documents; and manages partners who provide reporting to the Global Compliance Committee and Compliance and Ethics Oversight Committees on the Compliance Framework and Compliance-owned Risk Profiles.

Major
Duties

· Manages teams within Global Framework Compliance and conducts the performance assessments, identifies training and development needs, and establishes performance standards for the group

· Contributes to the development of the Global Framework Compliance strategic plan by setting goals and priorities for the group. Follows through to ensure that the group's objectives are met.

· Provides leadership and guidance to staff in the group, fostering an environment that encourages employee participation, teamwork, and communication

· Oversees the consistent and timely delivery of the disciplines of the Compliance Framework and reports on progress to the Head of Global Framework Compliance and other stakeholders in Compliance.

· Partners with senior management and other stakeholders in Compliance to identify training needs, and help design and deliver the required training.

· Establishes written guidance on the Compliance Framework. This includes policies and procedures and other documents, such as manuals and practice guidelines.
Identifies, documents and, as necessary, escalates Compliance risks associated with the execution of the Compliance Framework.

· Oversees the timely delivery of reporting, including the quarterly risk profile reporting for the risk themes that are owned by the Compliance Function.

Skills

Thorough knowledge of applicable laws and regulations, Compliance-related requirements, and risk mitigation techniques, usually acquired through formal education and experience, is required to manage the group. Leadership and organizational skills are required to manage the group and to direct their activities. Analytical and communication skills are required to review laws/regulations and assess impact of new regulations and work with line areas to oversee and manage Compliance Framework activities.

10 or more years' experience, preferably in Compliance or risk management; or equivalent related experience. Management experience also required

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