Senior Compliance Consultant EMEA Brokerage

1 day ago

London, Greater London, United Kingdom Northern Trust Corporation 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 provide innovative financial services and guidance to the world's most successful individuals, families, and institutions.

Role / Department

The Capital Markets business at Northern Trust is a key area of growth, offering brokerage, FX, securities lending, and transition management services. Our compliance team plays a vital role in supporting and overseeing this business, ensuring adherence to regulatory requirements and maintaining a strong partnership with the business.

Key Responsibilities
  1. Provide primary day-to-day compliance support for the EMEA Brokerage business.
  2. Offer advisory services, including responding to queries from the first line and clients, and liaising with legal, risk, testing, and audit teams.
  3. Engage with Capital Markets EMEA Senior Leadership on new initiatives and projects.
  4. Provide mentoring and guidance to the EMEA Capital Markets Compliance team.
  5. Attend relevant governance meetings and committees covering the EMEA region, such as the Best Execution Council.
  6. Monitor regulatory developments for the EMEA brokerage business, including analysis and socialization with first-line stakeholders.
  7. Business Process and Change Development Monitoring.
  8. Compliance Risk Framework Management, including maintaining rule maps and risk assessments.
  9. Regular reporting, MI, and escalations.
  10. Conduct and report on compliance monitoring and surveillance activities across the EMEA business and activities, ensuring timely and effective escalation of any findings.
  11. Coordinate with Business Unit Advisory Officers and compliance colleagues, providing centralized support in the Corporate Compliance and Global Surveillance teams, on monitoring and surveillance activities.
  12. Engage in other ad-hoc compliance projects in support of the Capital Markets and Treasury business units.
Requirements

Candidates must have:

  1. Previous brokerage experience and knowledge, preferably within a global financial institution, with sales/trading desk advisory experience (primarily covering Securities with derivatives knowledge a plus).
  2. Excellent stakeholder management skills.
  3. Experience of carrying out compliance monitoring activities in a financial markets business.
  4. A good understanding of regulatory systems and controls in a financial markets business and a demonstrable knowledge of trading systems and trading data.
  5. Demonstrable knowledge of core financial markets regulations applicable to sales and trading activities; in particular, MiFID II, MAR, and the FCA's Conduct of Business rules.
  6. Excellent data interrogation and analysis skills and a high degree of comfort working with large data sets.
  7. Good level of skill with Excel and/or other data analysis tools; good business-level knowledge of PowerPoint.
  8. Excellent communication (verbal and written) and interpersonal skills, and demonstrable experience of working collaboratively, and as part of a team.
  9. Experience in interfacing and communication with all levels of staff.
  10. Previous experience in dealing with regulators across a broad range of issues.
  11. Work in partnership with risk, compliance, and control team colleagues regionally/globally, including sharing of information and knowledge.
  12. Take responsibility for EMEA Brokerage policies and procedures for the regional brokerage business, including those for internal Compliance use.
  13. Develop and conduct training as required.
  14. Develop, execute, and deliver compliance-related projects.
  15. Ability to think laterally and solve problems, and to assess regulatory risk in a proportionate and business-appropriate way.
  16. Good organizational skills and proven ability to meet deadlines and produce detailed compliance monitoring reports and escalations in a timely manner.
Desirables
  1. Previous exposure to CFTC Swap Dealer compliance requirements for FX.
  2. Previous exposure to Securities Financing and Securities Lending compliance requirements.
Working with Us

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.

We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.

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