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Compliance Specialist - Asset Management (Vice President level)

Northern Trust
London, United Kingdom
Closing date
Dec 6, 2023

View more

Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
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.

About Northern Trust Asset Management

Northern Trust Asset Management (NTAM) is a global Investment Manager with $1.1 Trillion Assets Under Management, is a top 20 global asset manager, top 10 largest factor investor globally and the 12th largest ETF provider.

We believe investing ultimately serves a greater purpose and should be done intentionally and efficiently ...

... by people who are passionate, astute and tenacious problem solvers
... with the understanding that all investing involves risk and
... is best accomplished by using an empirically based process.

At Northern Trust Asset Management, we understand that investing ultimately serves a greater purpose. That is why our philosophy is rooted in the fundamental belief that investors should get compensated for the risks they take - in all market environments and in any investment strategy. At the heart of our philosophy is how we think about, view and analyze risk. As risk-aware investors, we take risk intentionally, to achieve investors' desired outcomes and minimize unintended consequences.

In EMEA, Northern Trust Asset Management serves professional investors offers a wide range of investment management capabilities, across active and passive, equities, fixed income and cash management. This includes quant active, sustainable investing, multi-asset, liquidity focused solutions as well as more traditional index management. Capabilities are available through both pooled funds and segregated accounts, with a focus on designing investment strategies to meet the specific needs of investors. NTAM manages the largest European ESG fund and 5/10 largest ESG index funds globally*.

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, reporting to the Asset Management EMEA Head of Compliance.

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 be supporting the Head of Compliance in providing technical research and consultation on regulatory matters to support compliance programs and activities focusing on EMEA. 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 the department in the identification, planning and execution of the department's activities
  • Analyse and provide technical research and consultation to support risk and compliance programs and initiatives including ESG
  • Provide timely and accurate regulatory and compliance advice to business partners
  • Work proactively and collaboratively to identify and implement practical and efficient client-centred solutions
  • Further develop the function's compliance monitoring program and management information dashboards
  • Support regulatory enquiries and examinations
  • Develop and maintain compliance frameworks and related policies and procedures
  • Develop and implement training programs with subject matter experts
  • Provide project support as required
  • 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
Knowledge / Skills:
  • Knowledge of FCA client money rules
  • Prior experience of fund structures including UCITS, ETFs, AIFs
  • 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 and influence to resolve problems
  • Excellent verbal and written communication skills
  • Excellent organisational 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 .

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.

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