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Senior Analyst, Compliance Surveillance

Northern Trust
Manila, Philippines
Closing date
Jul 21, 2024

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Job Function
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.

Major Duties :
  • Conducts internal quality audits for analyst reviews of trades, e-comms and audio
  • Performs 2nd Level reviews of trades, e-comms and audio potential escalations identified by analysts
  • Offers suggestions for enhancements to connection points with either program as or if needed
  • Creates monthly, quarterly, annual reports and other relevant reports to Surveillance process
  • Facilitates training and onboarding new surveillance analysts
  • Manages and updates content Manila Compliance Surveillance SharePoint site.
  • Maintains high standards of written and verbal communications, ensuring attention to detail in all cases
  • Completes all assigned tasks using effective time management by setting priorities and consistently meeting deadlines
  • Solves problems in straightforward situations
  • Analyzes possible solutions using technical experience and judgment and precedents
  • Impacts quality of own work and the work of others on the team
  • Works within guidelines and policies
  • Requires ability to communicate in a clear, concise and effective manner (verbal and written)
  • Requires knowledge in Financial Institution Regulatory and Compliance
  • Requires general knowledge of Global/Regional Financial Institution regulations and bank program implementation activities
  • Requires knowledge of Asset Management, Institutional trades, FX, derivatives, securities lending, transition management and brokerage trade surveillance
  • Displays confidence and expertise to advise management and the business
  • Applies earned experience providing compliance advisory/consultancy and operational support
  • Requires proactivity and minimal supervision
  • Displays strong leadership skills, a collaborative approach to work, with strong interpersonal skills
  • Deals effectively with different personalities to address competing deadlines
  • Requires attention to detail
  • Requires expanded conceptual knowledge in own job discipline
  • Understands key business drivers; uses this understanding to accomplish own work
  • Explains complex information to others in straightforward situations
  • Provides informal guidance to new team members
  • A College or University degree and/or relevant proven work experience is required / preferred
  • At least 3 years of experience in Surveillance or any compliance related process in a Financial Institution or equivalent
  • Experience as an SME in offshore banking and financial services team/s
  • 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 .

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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