Director of Policy and Regulatory Affairs

7 hours ago

London, United Kingdom Northern Trust Full time

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.
This is a leadership role within the GFS Risk & Regulatory Management Office, reporting to the Head of Regulatory Risk & Oversight.
The Office is responsible for the design and operation of independent GFS governance and oversight framework, covering regulatory, risk, and resiliency matters across in scope business functions including Fund Administration, Middle Office, Depositary, and Ancillary services, with connectivity to business services (Derivatives, Collateral) and custody operations.
The purpose of this independent Office is to provide centralized management and engagement of NT corporate risk and regulatory themes, translation of regulator and corporate regimes and frameworks (determining applicability to fund services business activities), and proactive direction and oversight of delivery, embeddedness, and ongoing monitoring activities.
This is a critical part of the fund services risk management and involves interaction with C suite stakeholders both internally and key client facing.
The EMEA AML Regulatory Oversight Manager is responsible for providing technical oversight, strategy, and direction for the EMEA Transfer Agency business investor AML model. EMEA Transfer Agency is provided to c. The role will involve working closely with the EMEA Head of Investor AML Operations, and Global AML Compliance, global operating centers, local country AML oversight managers, and the Northern Trust second line of defense International MLRO Office.
The role holder is likely to be a multi-disciplinary AML expert with substantial knowledge of applicable risk and regulatory regimes across the EMEA region, ability to read and interpret regulations and regulator/market intelligence, represent Northern Trust in industry forums, and support executive engagement with Northern Trust clients.
Regulatory Technical:

Provide support and direction for technical regulatory adherence of GFS operating model.
Design and operate regional Executive AML regulatory oversight governance.
Design and operate a robust regulatory oversight framework which includes the following: monitoring activities; review and challenge process around AML operations and oversight functions; key risk identification and management; regulatory strategy and policy; oversight of regulatory breaches and incidents; and regulatory and operational risks.
Provide the technical regulatory response to industry and regulator change, ensuring the operating model is fit for purpose across country-specific regulatory frameworks.
Standing attendee at key functional and legal entity regional governance and risk oversight forums.
Support Northern Trust 2LOD and 3LOD Audit Services, Risk reviews, and Compliance monitoring reviews covering GFS AML frameworks and operating model.
Participate in the setting of strategic objectives across the GFS Global Risk & Regulatory Management, and lead and/or monitor strategic regulatory projects as required.
Operations Regulatory Oversight Framework:

Manage regional oversight framework for GFS adherence to AML regulatory themes, aligned with GFS Global policy and direction, and supporting the response and adherence to NT 2LOD (Risk, compliance) oversight.
Ensure robust compliance with applicable regulation and risk appetite through day-to-day support and oversight of E2E systems, processes, and controls operated within in scope business units and the EMEA Investor AML operations. This includes investor due diligence, PEP/Sanctions/Adverse Media screening, PEP risk management, periodic reviews, transaction monitoring, and fraud risk management.
Own the regional oversight for key AML RCSA compliance controls.
Drive partner training and awareness of relevant oversight requirements, policies and procedures, and cultural embeddedness across the in-scope business units.
Develop and maintain effective relationships with relevant regulatory bodies, relevant third parties and vendors, and industry working groups; gather and provide market, industry, and regulator intelligence/change to support the ongoing evolution of the GFS operating model.
Support GFS clients in their obligations under AML regulations, including provision of information and guidance as to NT regulatory framework and adherence.
Prepare materials and support Executives with external regulatory engagement, and interact with regulators as required.
Participate in client and prospect client due diligence and engagement sessions in respect of the oversight/governance model and technical compliance.
The ideal candidate should have a fair amount of the following qualities:

Significant experience in asset servicing and/or asset management, with extensive understanding of key AML / AFC regulatory obligations of fund services businesses.
Experience with key Important Business Services operations; Experience managing and influencing senior exec stakeholders and business unit owners.
Highly flexible and adaptable to change, self-starter.
Demonstrated leadership, planning, and organizational skills.
Ability to coach and develop skillsets in partners, bridging the gap between regulatory and business expertise.
Excellent oral and written communication skills with the ability to present confidently to legal entity governance bodies and executives while avoiding ambiguity.
Ability to present a balanced, cross-functional perspective, liaising with the business to improve efficiency, effectiveness, and productivity.
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 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.
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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