Global Head of Banking Compliance

3 weeks ago

London, Greater London, United Kingdom Northern Trust Full time

About Northern Trust:

Northern Trust is a prestigious financial institution, recognized globally and operating since 1889, with a strong reputation for excellence in service and integrity.

We are dedicated to delivering innovative financial solutions and expert guidance to a diverse clientele, including individuals, families, and institutions. With over 130 years of experience and a workforce exceeding 22,000, we leverage advanced technology and exceptional service to meet the needs of our sophisticated clients.

Role/Department:

The Banking and Markets division at Northern Trust is among the most rapidly expanding sectors within our Asset Servicing business. Our primary offerings encompass institutional brokerage, global foreign exchange, securities financing, portfolio solutions, and banking services such as Global Lending and Treasury Management. The Compliance team plays a crucial role in overseeing these operations, maintaining independence while fostering strong advisory relationships with the business.

This position is part of the Global Banking and Markets Compliance Team, which operates under the Corporate Compliance function. We are seeking an experienced leader to oversee the International Banking and Markets Compliance team, reporting directly to the Global Head of Banking and Markets Compliance.

Key Responsibilities:

  • Contribute as a member of the Global Banking and Markets Compliance management team, shaping the strategic direction and execution of the function's objectives.
  • Lead a high-performing team of compliance advisory professionals across multiple regions.
  • Facilitate compliance advisory support for the EMEA and APAC Banking and Markets Business Units, offering insights and guidance on regulatory requirements and industry best practices.
  • Oversee the maintenance of the International Compliance Program, including risk assessments, monitoring, training, and strategic initiatives.
  • Represent compliance in governance forums and committees, preparing and submitting necessary reports and documentation.
  • Manage relationships with senior stakeholders across all three lines of defense and relevant areas of the organization.
  • Assess existing and proposed regulatory requirements against current processes to identify potential gaps or risks, providing recommendations for policy adjustments as needed.
  • Review and provide feedback on regulatory consultation documents and guidance from industry bodies.
  • Prepare for and respond to regulatory inquiries and requests.
  • Advise on compliance programs, applicable laws, and regulations, keeping stakeholders informed of relevant developments.
  • Continuously evaluate the compliance program against regulatory best practices and emerging trends.
  • Support the execution of local compliance programs related to licensing, complaints, breaches, and investigations across jurisdictions.
  • Collaborate with legal, risk, compliance, and control teams both regionally and globally, sharing information and expertise.

Skills/Qualifications:

  • Proven experience in managing and developing international teams.
  • In-depth knowledge of regulatory requirements for global market activities, particularly in FX, Securities Brokerage, and Securities Financing.
  • Background in a compliance advisory role within a global financial institution or regulatory body.
  • Strategic mindset with the ability to adapt to changing priorities in a fast-paced environment.
  • Understanding of financial products within a Capital Markets context.
  • Experience in designing and implementing compliance frameworks.
  • Strong stakeholder management skills at senior levels.
  • Experience in engaging with regulators and internal audits, including responding to inquiries and examinations.
  • Demonstrated success in conducting effectiveness reviews and optimization initiatives.
  • Ability to develop and maintain risk assessments for compliance activities.

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