Senior Consultant Compliance

5 months ago

London, United Kingdom Northern Trust Corp. 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 Northern Trust Asset Management

Northern Trust Asset Management (NTAM) is a global Investment Manager with $1.1 Trillion Assets Under Management, is a top 20 global asset manager, top 10 largest factor investor globally and the 12th largest Exchange Trading Funds (ETF) provider.

We believe investing ultimately serves a greater purpose and should be done intentionally and efficiently
- by people who are passionate, astute and tenacious problem solvers
- with the understanding that all investing involves risk and
- is best accomplished by using an empirically based process.

At NTAM, we understand that investing ultimately serves a greater purpose. That is why our philosophy is rooted in the fundamental belief that investors should get compensated for the risks they take - in all market environments and in any investment strategy. At the heart of our philosophy is how we think about, view and analyse risk. As risk-aware investors, we take risk intentionally, to achieve investors’ desired outcomes and minimize unintended consequences.

In EMEA, NTAM serves professional investors offers a wide range of investment management capabilities, across active and passive, equities, fixed income and cash management. This includes quant active, sustainable investing, multi-asset, liquidity focused solutions as well as more traditional index management. Capabilities are available through both pooled funds and segregated accounts, with a focus on designing investment strategies to meet the specific needs of investors. NTAM manages the largest European ESG fund and 5/10 largest ESG index funds globally*.

Role/ Department:
The role is for a Senior Compliance Consultant, based in London the individual will work within an international Compliance team operating in a successful international Asset Management business.

The role is engaging, hands-on and offers excellent exposure to someone looking to develop their career in an asset management-based compliance role.

The key responsibilities of the role include:

- Development and implementation of risk-based compliance monitoring plans and programmes to provide assurance that regulated activity is being conducted in a controlled and compliant manner;
- Review of marketing materials across both NTAM products (UCITS) and services (portfolio management) and the provision of cross-border advice;
- Product governance including consumer duty
- Support the submission and management of regulatory reporting and submissions associated with the relevant regulators
- Completion of initial analysis for any relevant regulatory change impacting the firm - FCA, CBI and/or ESMA.
- Provide timely and accurate compliance advice to business partners
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Develop and implement training
- Attendance and reporting to relevant committees, boards, working groups and forums

Skills/ Qualifications:

- Experience in advising and/or monitoring of asset management business.
- Working knowledge of EMEA regulations - UCITS and/or MiFID
- Exposure to cross-border regulatory frameworks and rules - UK and EU
- Understanding of investment management products and services and knowledge of securities, cash and derivatives market instruments.
- Analytical ability to identify and understand problems and provide effective collaborative solutions.
- Highly motivated individual who has a proven record of using initiative to resolve problems.
- Excellent verbal and written communication skills.
- Excellent organisational and analytical skills.

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.

Reasonable accommodation


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.

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