Compliance Monitoring Officer, Capital Markets and Treasury EMEA
About The Role:
Reporting to the Head of Compliance for Capital Markets and Treasury EMEA, the Compliance Monitoring Officer will play an integral role in the compliance team by managing and coordinating the delivery and ongoing development of the Compliance Monitoring Program for Capital Markets and Treasury.
Northern Trust Capital Markets is comprised of a number of Northern Trust entities and businesses that provide trading and execution services on behalf of institutional clients and services include foreign exchange, institutional brokerage, securities lending, and transition management.
The successful candidate will have good prior experience of compliance monitoring and surveillance in a sales and trading environment, and will be capable of taking ownership of the Compliance Monitoring Program and ensuring the timely completion and reporting of monitoring and surveillance activities and findings across the Capital Markets businesses. This role offers an opportunity to work together with business unit and compliance colleagues engaged in globally organized businesses and compliance functions, including acting as the lead liaison with the Global Surveillance function. Key Responsibilities:
• Manage and coordinate the delivery of the Compliance Monitoring Program for Northern Trust Capital Markets and Treasury in EMEA.
• Carry out and report on compliance monitoring and surveillance activities across the range of Capital Markets and Treasury business and activities, ensuring timely and effective escalation of any findings.
• Coordinate with Business Unit Advisory Officers and compliance colleagues providing centralized support in the Corporate Compliance and Global Surveillance teams, on monitoring and surveillance activities.
• Assist the Head of Compliance with the development of new or enhanced monitoring and surveillance activities.
• Become a subject matter expert on the Northern Trust Compliance Risk Management Program and its impact on monitoring and surveillance.
• Act as liaison with the Global Surveillance team, providing assurance to Head of Compliance on the surveillance activities performed and reported by Global Surveillance that involve Capital Markets and Treasury EMEA.
• Engage in other ad hoc compliance projects in support of the Capital Markets and Treasury business units. Required skills and experience:
• Educated to degree level, ideally with a specialisation in law, economics, mathematics or statistical analysis; or a comparable amount of industry experience within financial services.
• Experience of carrying out compliance monitoring activities in a financial markets business, preferably in a compliance monitoring or trade surveillance role.
• A good understanding of regulatory systems and controls in a financial markets business and a demonstrable knowledge of trading systems and trading data.
• Demonstrable knowledge of core financial markets regulations applicable to sales and trading activities; in particular MiFID II, MAR and the FCA's Conduct of Business rules.
• Excellent data interrogation and analysis skills and a high degree of comfort working with large data sets.
• Advanced level of skill with Excel and/or other data analysis tools; good business-level knowledge of PowerPoint.
• Excellent communication (verbal and written) and interpersonal skills, and demonstrable experience of working collaboratively, and as part of team.
• Ability to think laterally and solve problems, and to assess regulatory risk in a proportionate and business appropriate way.
• Good organisational skills and proven ability to meet deadlines and produce detailed compliance monitoring reports and escalations in a timely manner. About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Working with Us:
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
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 ethical companies. Build your career with us and apply today!
• Want to learn more about our company? Visit www.northerntrust.com
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