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Senior Compliance Consultant - Asset Management

Employer
Northern Trust
Location
London, United Kingdom
Salary
Competitive
Closing date
Oct 4, 2023

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families and institutions by remaining true to our enduring principles of service, expertise and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Role/ Department:

The role is for a Senior Compliance Consultant, based in London The individual will work within a regional Compliance team operating in a successful international Asset Management business

The role is engaging, hands-on and offers excellent exposure to someone looking to develop their career in an asset management-based compliance role. The role will provide support to the wider team's activities, with emphasis on supporting the team's monitoring program. The individual may be asked to support the wider compliance team as necessary and act as a partner to both Compliance team members and managers and staff in the business units.

The key responsibilities of the role include:
  • Support and further develop the function's front office compliance monitoring program ,including: conduct monitoring, trading practices (surveillance), best execution monitoring and MiFIR reporting
  • Provide support to Conflicts of Interest Management e.g. code of ethics, personal account dealing, gifts and entertainment
  • Provide timely and accurate regulatory and compliance advice to business partners
  • Assist in the development and maintenance of risk and compliance frameworks and related policies and procedures
  • Develop and implement training programs with subject matter experts
  • Analyse and provide technical research and consultation to support risk and compliance programs and initiatives
  • Providing ad-hoc project support as required
  • Support senior members of the department in the identification, planning and execution of the department's activities.
  • Provide back up support to the wider compliance team as and when required, e.g. review of marketing materials, monitoring activity
  • Attendance and reporting to relevant committees, boards, working groups and forums
.

Skills/ Qualifications:

The successful candidate will benefit from having:
  • Experience in advising and/or monitoring of asset management business
  • Working knowledge of EMEA regulations e.g. MiFID, UCITS, FCA, etc
  • Regulatory trade reporting including: MiFIR trade and transaction reporting; EMIR, SFTR, FINFRAG, MMFR etc.
  • Exposure to cross-border regulatory frameworks and rules
  • Understanding of investment management products and services and knowledge of securities, cash and derivatives market instruments
  • Analytical ability to identify and understand problems and provide effective collaborative solutions
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Excellent verbal and written communication skills
  • Excellent organizational and analytical skills.
Working with Us

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation:

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 MyHRHelp@ntrs.com .

We hope you're excited about the role and the opportunity to work with us. 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.

#LI-Hybrid

Additional Information

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