Compliance Manager

6 days ago

London, Greater London, United Kingdom Northern Trust Corp. Full time

About Northern Trust Corp.

Northern Trust Corp., a leading global financial institution, has been a trusted partner to the world's most successful individuals, families, and institutions for over 130 years. Our commitment to service, expertise, and integrity has earned us a reputation as a premier provider of innovative financial solutions.

About the Role:

The International Compliance team, a key component of Global Compliance and Corporate Risk, plays a critical role in ensuring Northern Trust Corp. meets its regulatory obligations. As the Head of the UK Legal Entity Compliance Oversight function, you will provide leadership and guidance to the team, ensuring the adequacy and effectiveness of measures, controls, and procedures in place to address regulatory requirements.

Key Responsibilities:

  • Provide strategic leadership and guidance to the UK Compliance team, ensuring the timely development and maintenance of regulatory rules, guidance, controls, and risk ratings.
  • Oversee the execution of the Compliance program for Asset Servicing and Global Family Office businesses, ensuring alignment with regulatory expectations.
  • Collaborate with the Compliance and Controls teams, including Risk, Legal, Conduct Office, Operational Resiliency Office, and the CASS Office, to identify and mitigate regulatory risks.
  • Develop and maintain Compliance policies and standards, and deliver training to partners to ensure a strong compliance culture.
  • Monitor and assess the adequacy and effectiveness of measures, controls, and procedures in place to address regulatory obligations.
  • Attend business, compliance, and governance meetings to provide the compliance view and ensure alignment with regulatory requirements.
  • Support the Regulatory Change Framework and the business to monitor regulatory developments, including industry thinking and guidance.
  • Manage the resources within the team, ensuring a structure that allows for teamwork, efficiency, and exposure, learning, and growth opportunities for all members.

Requirements:

  • Strong experience in Compliance in a senior position at a major asset servicing/investment management firm or experience working in a senior position within a professional services firm or experience working at a relevant regulator.
  • Solid Asset Servicing business knowledge and experience in managing and leading a team, including remote management.
  • Expertise in UK regulation impacting Asset Servicing, including CASS, COLL, COBS, BCOBS, DSGD, PROD, PSR, and SEPA rules, with the ability to interpret business and operational impact.
  • Experience of working within a global compliance team would be advantageous, as well as experience in regulatory exams and audit management.

Why Northern Trust Corp.?

Northern Trust Corp. is committed to creating a diverse and inclusive work environment that fosters growth, learning, and development. We offer a competitive compensation package, comprehensive benefits, and a range of opportunities for professional growth and advancement.

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