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Senior Compliance Consultant

Northern Trust
Melbourne, Australia
Closing date
Jul 24, 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.

Role Summary:

The Senior Compliance Consultant will work within an APAC Asset Management Compliance team operating in a successful international Asset Management business. The role offers excellent exposure to someone looking to develop their career in an international asset management based compliance role.

The position will provide technical subject matter expertise on the compliance monitoring and testing design, and will support execution of the compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, conduct obligations, as well as distribution and servicing of investment products and services across the APAC region, with compliance and business partners based in Australia, Hong Kong, Japan and Singapore. Coordinating such APAC activities with EMEA and US counterparts.

What you will do:
  • Monitoring and testing of the APAC-wide regulatory and corporate compliance obligations
  • Substantial experience with equity portfolio management, and equity, FX, and futures trading, and regulatory requirements governing those activities
  • Supporting execution of the global trade surveillance programme
  • Supervision and monitoring of the Hong Kong-based equity and fx trading activities
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assist in the development and maintenance of compliance frameworks and related policies and procedures
  • Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department's activities.
  • Provide support to the wider compliance team as and when required
About You:
  • Proven experience in advising and/or monitoring of asset management business
  • Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
  • Working knowledge of ASIC and other APAC regulators
  • Prior experience in the interpretation and analysis of industry standards
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
  • Excellent verbal and written communication skills
  • Desire to stay in front of new business/regulatory developments
  • 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 .

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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