CAREERS

Analyst, TCOE Compliance

📁
Risk Management/Compliance
📅
82549 Requisition #

Under general supervision (but works independently most of the time) responsible for supporting the Global Compliance Testing (GCT) program by executing testing procedures (test scripts) to assess the levels of adherence with laws and regulations, as well as bank compliance processes. Detects potential Compliance issues and works with regional GCT Partners to frame the issue and root cause for Management


Responsibilities:

  • Review assigned laws/ regulations and related Compliance Risk Assessment in order to understand related test scripts for execution of testing
  • Engage with Compliance SME’s to understand any matters for concern related to applicable reviews, as necessary
  • Conduct and adequately document testing to assess compliance with and adherence to regulations/legislation
  • Follow established policies, procedures and standards for testing activities
  • Apply analytical skills to review information and determine potential control weaknesses or exceptions to policies / processes
  • Validate and summarize testing results in clear, concise language 7. Interact with business partners and internal auditors on regulatory topics as necessary
  • Attend relevant training and information sessions to increase knowledge of the regulatory environment9. Assistance with validation testing of issues identified to ensure actions have been adequately closed
  • Assistance with administrative duties such as: ensuring the issue log is up to date to enable accurate reporting on all issues, including any past due items
  • Carries out complex activities with significant financial, client, and/or internal business impact
  • May have direct interaction with committees and/or Senior Management
  • Able to serve as a key subject matter expert and mentor to other more junior level employees
  • More technically sound in area of expertise and has broader knowledge of other area
  • Delivers a work product that requires less revision16. Able to facilitate discussions and reach decisions

Qualifications:


  • A minimum of 3-5 years of compliance, risk management, bank auditing, bank examination or equivalent related experience required.
  • Bachelor’s degree required. 
  • Relevant certifications or advanced degree a plus
  • General knowledge of bank compliance regulations; knowledge of specific topics, e.g. Anti-Money Laundering, Economic Sanctions, GDPR, deposits, etc. is a plus
  • Analytical ability to identify and understand compliance issues
  • Excellent written and oral communication skills
  • Attention to detail
  • Possess the ability to handle multiple requests, and exhibit a proactive, hands-on approach to problem solving
  • Ability to adapt and react positively in a changing and dynamic work environment
  • Flexible approach towards changing work methods, deadlines and variable workloads
  • Proficiency in Word, Excel, and SharePoint

Previous Job Searches

My Profile

Create and manage profiles for future opportunities.

Go to Profile

My Submissions

Track your opportunities.

My Submissions

Similar Listings

Philippines, National Capital Region, Manila

📁 Risk Management/Compliance

Requisition #: 82552

Philippines, National Capital Region, Manila

📁 Risk Management/Compliance

Requisition #: 82542

Philippines, National Capital Region, Manila

📁 Risk Management/Compliance

Requisition #: 81705

Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), 1800-425-0333 (India), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC/India EEO Statement
    • APAC/INDIA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement