Senior Compliance Consultant EMEA Brokerage

3 weeks 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 have established ourselves as a trusted partner for individuals, families, and institutions seeking innovative financial services and guidance.

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 ensuring the integrity of our operations, working closely with the business while maintaining independence as part of the second line of defense.

Key Responsibilities

  • Provide primary day-to-day compliance support for the EMEA Brokerage business.
  • Offer advisory services, including responding to queries from the first line and clients, and liaising with legal, risk, testing, and audit teams.
  • Engage with Capital Markets EMEA Senior Leadership on new initiatives and projects.
  • Provide mentoring and guidance to the EMEA Capital Markets Compliance team.
  • Attend relevant governance meetings and committees covering the EMEA region, such as the Best Execution Council.
  • Monitor regulatory developments for the EMEA brokerage business, including analysis and socialization with first-line stakeholders.
  • Business Process and Change Development Monitoring.
  • Compliance Risk Framework Management, including maintaining rule maps and risk assessments.
  • Regular reporting, MI, and escalations.
  • Conduct and report on compliance monitoring and surveillance activities across the EMEA business and activities, ensuring timely and effective escalation of any findings.
  • 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.
  • Engage in other ad-hoc compliance projects in support of the Capital Markets and Treasury business units.

Requirements

  • 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).
  • 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 and a demonstrable knowledge of trading systems and trading data.
  • 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.
  • Excellent data interrogation and analysis skills and a high degree of comfort working with large data sets.
  • Good level of skill with Excel and/or other data analysis tools; good business-level knowledge of PowerPoint.
  • Excellent communication (verbal and written) and interpersonal skills, and demonstrable experience of working collaboratively, and as part of a team.
  • Experience in interfacing and communication with all levels of staff.
  • Previous experience in dealing with regulators across a broad range of issues.
  • Work in partnership with risk, compliance, and control team colleagues regionally/globally, including sharing of information and knowledge.
  • Take responsibility for EMEA Brokerage policies and procedures for the regional brokerage business, including those for internal Compliance use.
  • Develop and conduct training as required.
  • Develop, execute, and deliver compliance-related projects.
  • Ability to think laterally and solve problems, and to assess regulatory risk in a proportionate and business-appropriate way.
  • Good organizational skills and proven ability to meet deadlines and produce detailed compliance monitoring reports and escalations in a timely manner.

Desirable Skills

  • Previous exposure to CFTC Swap Dealer compliance requirements for FX.
  • 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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