Regulatory Risk Executive

3 weeks ago

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

About Northern Trust:

Northern Trust Corporation, a Fortune 500 company, is a globally recognized, award-winning financial institution with a rich history dating back to 1889.

The company prides itself on providing innovative financial services and guidance to the world's most successful individuals, families, and institutions by adhering to its core principles of service, expertise, and integrity.

With over 130 years of experience in the financial industry and a global team of over 22,000 partners, Northern Trust serves the world's most sophisticated clients using cutting-edge technology and exceptional service.

Role/Department

The Global Regulatory Affairs Office (GRAO) is responsible for overseeing the enhancement of risk management and controls, remediation of regulatory and audit findings, and the administration of regulatory affairs.

This role sits within the GRAO and has primary responsibility for providing leadership and subject matter expertise across a multi-year regulatory and risk program necessary to execute GRAO strategy.

The Regulatory Risk & Oversight Manager will lead key pillars of the program, which involves delivery of critical strategic enterprise capabilities that impact multiple business units and disciplines.

Key Responsibilities

  1. Support the definition and lead the execution against the identified pillars of the Program as a named Program Lead.
  2. Over time, identify and manage a small global team who will enable execution of the new frameworks, working closely with third-party consultants and legal advisors.
  3. Collaborate with stakeholders across all lines of defense, multiple business units, and senior management to identify and create effective and sustainable solutions for managing compliance and legal risk.
  4. Lead Working Group meetings to support transformation and maintain efficient and appropriate governance to enable successful outcomes.
  5. Manage the pillars and deliverables with a forward-looking mindset, proactively anticipating any potential issues, preventing them, and/or defining pragmatic contingency plans.
  6. Develop and control deadlines and activities pertaining to the supported pillars.
  7. Proactively manage dependencies, 'reusable assets' (components of the solution that have been already built elsewhere), roadblocks, and learning points (i.e., milestones defined to resolve any uncertainty that the team might be dealing with).
  8. Timely escalate and relentlessly pursue resolution of any roadblocks with a clear, end-to-end ownership mindset.
  9. Ability to communicate effectively with developers, data architects, and infrastructure resources to ensure there is a clear and concise understanding of requirements and acceptance criteria to ensure the frameworks and operating model are technology enabled.
  10. Help shape best practices, standards, and toolkits and strengthen our capabilities around compliance and legal risk.

Requirements

  1. Deep understanding of regulatory, compliance, and risk-related matters.
  2. Demonstrated experience in transformation or remediation strategy and execution linked to technology enablement.
  3. Proven leadership skills and ability to build a high-performing team with remote management.
  4. Knowledge of the financial services industry, especially asset servicing, wealth management, and banking, and the regulatory environment in which they operate, including regulatory themes emerging within the industry.
  5. Excellent skills across communication, facilitation, interpersonal, conflict resolution, team building, coaching members on practices, framework, ability to teach/train, etc.
  6. Ability to establish trust-based relationships with stakeholders across the enterprise, lead them towards common objectives, and manage upwards and downwards (e.g., experience with acting as a constructive conduit between business and non-business teams).
  7. Strong problem-solving skills, organizational skills, and time management skills.
  8. Demonstrated ability to manage third parties such as consultants and support the tracking of financial expenses and performance against budget.

Working with Us:

At Northern Trust Corporation, we pride ourselves on being a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

We encourage movement within the organization and have senior leaders who are accessible.

We take pride in working for a company committed to assisting the communities we serve.

Join us in building a greater purpose and apply today.

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