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Team Leader, Compliance Surveillance (Mobile Surveillance)

Employer
Northern Trust
Location
Manila, Philippines
Salary
Competitive
Closing date
May 29, 2024

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Job Function
Accounting/Audit/Tax
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.

The key responsibilities of the role include:
  • Supervise the monitoring and reviews trade, audio and electronic communication of partners to assure compliance with applicable regulatory requirements and adherence to internal policies
  • Perform 2nd Level reviews of trades, e-comms and audio potential escalations identified by analysts
  • Advises business partners on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area
  • Conduct recurring Business Unit Services reports on a regular frequency
  • Researches and develops analytical reports and solutions for issues being addressed by the department
  • Participates in training partners and delivering communications on applicable laws and regulations
  • Carries out complex activities with significant financial, client, and/or internal business impact
  • May have direct interaction with committees and/or Senior Management
  • Organizes the work of the team, assigns tasks, sets short-term priorities, monitors all activities and ensures timely and accurate completion of the work
  • Conducts performance management and career development processes, and staffing and disciplinary actions
  • Resolves problems, identifies the most appropriate solution and may establish new techniques to ensure the team is able to meet its objectives
  • Has direct impact, on the quality of the tasks performed or services provided by the team
Skills/Qualifications:
  • Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)
  • Experience related to trade, e-comms and audio monitoring
  • General knowledge of Global/Regional Financial Institution surveillance regulations is required (e.g. FINRA, CTFC, SEC, FED)
  • Knowledge of specific topics such as market abuse, unlawful behavior, such as insider trading, false trading and market manipulation, threatens market integrity, distorts market transparency, false markets Knowledge of Custody, Asset Servicing, FX, Fund Administration, Brokerage businesses as well as corporate governance such as outsourcing and bank secrecy requirements.
  • Confidence and expertise to advise management and the business
  • Experience providing compliance advisory and operational support
  • Ability to use initiative and work unsupervised in a proactive manner
  • Strong leadership skills, a collaborative approach to work, with strong interpersonal skills
  • Ability to deal effectively with different personalities to address competing deadlines
  • Attention to detail
  • Understands how the assigned duties relate to others in the team and how the team integrates with others
  • Requires tact and diplomacy to exchange ideas and information with own team and other teams in a concise and logical way
  • Provides day-to-day supervision to a team including coaching on performance, coordinating activities, checking on quality and work progress
The successful candidate would benefit from having:
  • A College or University degree and/or relevant proven work experience is required
  • At least 5 years work experience doing surveillance, 2 years of which in a management capacity, preferably in any compliance related process in a Financial Institution or equivalent
  • Experience in managing offshore banking and financial services team/s
  • Series 24, CFA investment foundation or any relevant financial certifications is preferred
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.

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