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Senior Compliance Consultant EMEA Brokerage

2 months 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 & transition management services. Our compliance team plays a vital role in supporting and overseeing this business, ensuring adherence to regulations such as MIFID II, MAR, EMIR, SFTR & CSDR.

Key Responsibilities
  1. Provide primary day-to-day compliance support for the EMEA Brokerage business.
  2. Offer advisory services, including responding to queries from first-line teams and clients, and liaising with legal, risk, testing & 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 & risk assessments.
  9. Regular reporting, MI & escalations.
  10. Carry out and report on compliance monitoring and surveillance activities across the range of 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 and 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 team.
  9. Experience in interfacing and communication with all levels of staff
  10. Previous experience in dealing with regulators across 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.
Desirable Skills

Candidates with the following skills will be considered:

  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.