EMEA Brokerage Compliance Specialist
3 days ago
About Northern Trust:
Northern Trust is a globally recognized, award-winning financial institution with over 130 years of financial experience and a diverse range of innovative financial services and guidance. Our commitment to service, expertise, and integrity has earned us the trust of the world's most sophisticated clients.
Role / Department
The Capital Markets business at Northern Trust is a key area of focus, with core products including brokerage, FX, securities lending, and transition management. As part of our compliance team, you will play a vital role in supporting and overseeing this business, ensuring that we maintain the highest standards of regulatory compliance.
Key Responsibilities
- Primary day-to-day compliance resource for our EMEA Brokerage business.
- Advisory activities, including responding to questions from first-line staff and clients, and liaising with legal, risk, testing, and audit teams.
- Engagement with Capital Markets EMEA Senior Leadership on new initiatives and projects.
- Providing mentoring and guidance to the EMEA Capital Markets Compliance team.
- Attending relevant governance meetings and committees covering the EMEA region.
Requirements
Candidate must have:
- Previous brokerage experience and knowledge, preferably within a global financial institution, with sales/trading desk advisory experience.
- Excellent stakeholder management skills.
- Experience of carrying out compliance monitoring activities in a financial markets business.
- A good understanding of regulatory systems and controls in a financial markets business.
Working with Us:
Northern Trust is a company that values its employees and is committed to providing a flexible and collaborative work environment. We encourage movement within the organization and offer opportunities for growth and development.
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