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EMEA Head of Legal

2 months ago

London, Greater London, United Kingdom Northern Trust Full time
About Northern Trust

Northern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we have established ourselves as a trusted partner for individuals, families, and institutions seeking innovative financial solutions.

About the Role

The International Compliance team, part of Global Compliance and Corporate Risk, plays a critical role in ensuring Northern Trust meets its regulatory obligations. As the Head of the UK Legal Entity Compliance Oversight function, you will provide leadership and guidance on compliance matters impacting our UK Asset Servicing and Global Family Office businesses.

Key Responsibilities
  • Act as the second line of defence, providing regulatory advice and assurance to senior management, boards, and regulators.
  • Lead the UK Legal Entity Compliance Oversight team, ensuring the timely development and maintenance of compliance policies and standards.
  • Monitor and assess the adequacy and effectiveness of measures, controls, and procedures to address regulatory obligations.
  • Collaborate with the wider Compliance and Controls teams, including Risk, Legal, Conduct Office, and Operational Resiliency Office.
  • Set compliance objectives and initiatives for the UK team, ensuring alignment with the Head of Compliance International's direction.
Requirements
  • Strong experience in Compliance, preferably in a senior position at a major asset servicing/investment management firm or a professional services firm.
  • Solid Asset Servicing business knowledge and experience in managing and leading a team.
  • Expertise in UK regulation impacting Asset Servicing, including CASS, COLL, COBS, BCOBS, DSGD, PROD, PSR, and SEPA rules.
  • Experience in regulatory exams and audit management is a plus.
Why Join Northern Trust?

We offer a dynamic work environment, opportunities for growth and development, and a commitment to assisting the communities we serve. If you're passionate about compliance and want to make a meaningful impact, join our team and help us shape the future of financial services.