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Associate Consultant, Compliance Surveillance

Northern Trust
Manila, Philippines
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.


Supports administration of key electronic communication and voice recording surveillance tools and utilities. This role will liaise with external vendors and also Northern Trust's internal technology teams, business units, and compliance teams in all Northern Trust locations to ensure that surveillance tools and utilities remain operational and effective. The role requires independent and critical thinking to identify and resolve issues in a timely basis and ability to support a broad spectrum of stakeholders. Uses specific knowledge of a discipline to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience. Uses expertise to provide guidance to others as a project manager or consultant. Requires working knowledge and experience in own job discipline. Continues to build knowledge of the company, processes and clients. Performs a range of assignments related to job discipline. Uses prescribed guidelines or policies in analyzing situations. Receives a moderate level of guidance and direction.

Major Duties:
  • Works with vendors, Surveillance teams, regional Compliance teams, Technology teams, and global business lines to ensure that the tools and utilities in place to satisfy regulatory obligations remain operational and effective.
  • Identifies, troubleshoots, and resolves technical issues impeding compliance requirements
  • Maintains policies and procedures covering global surveillance programs
  • Administers key surveillance tools and utilities on a day-to-day basis, including granting access and performing periodic testing and surveys in accordance with policies and procedures
  • Assists with responding to inquiries arising from internal and external reviews (e.g., regulator requests, internal audits)
  • Supports additional tasks for the global capital markets compliance program as needed
  • Responsible for the research, evaluation, recommendation and administration of systems and procedures to ensure the protection of information processed, stored or transmitted.
  • Provides consulting and support to in-house developers to apply appropriate information security procedures and products and provides technical expertise and support to client, IT management and staff in risk assessments, implement.
  • Provides assistance to system users and senior management
  • Acts as the technical or business consultant on project development, new techniques and the implementation of new processes.
  • Reviews existing systems, processes, and problems and recommends where system functionality, automation or improved processes can be implemented.
  • Prepares materials and manuals, and provides training to partners related to system or process changes.
  • 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 creative thinking and ability to identify and put forward solutions.
  • Deals effectively with different personalities to address competing deadlines
  • Handles presentations to groups and asking for approval of various types of projects/documents/tasks
  • Knowledge of various surveillance systems, good consultative skills and analytical in nature
  • 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
  • At least 3 years of compliance/risk management/regulatory experience, with a focus on electronic communication and surveillance tools and utilities, specific experience with Bloomberg Vault, Verint, and Bloomberg's BTCA tool is a plus.
  • Experience in Compliance with any financial institution; basic understanding of compliance programs and has participated in the successful execution of them. Experience supporting global compliance programs a plus.
  • Any relevant financial certifications is preferred
  • Typically 3 or more years of technical experience in multiple Surveillance platforms, operating systems, software, communications and network protocols or an equivalent combination of education and work experience.
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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