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Compliance Consultant

📁
Risk Management/Compliance
📅
76489 Requisition #
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Who we are

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise, and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families to the most-successful hedge funds and corporate brands.

 

Northern Trust’s international business has grown dramatically over the last decade. Some of our largest clients are located in Asia and Australia, which represents a rapidly growing client base for the company. Since 1986, we have been serving clients in Asia-Pacific (APAC), including corporate pension funds, investment managers, insurance companies, government agencies, family offices and corporations. Our intricate understanding of the region allows us to provide unique insights and strategic perspectives to our clients. Currently, we have client offices in Beijing, Hong Kong, Melbourne, Singapore, Seoul, Tokyo and Kuala Lumpur.

 

What we do

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

 

What you will do

You will work within a regional Risk/Compliance team operating in a successful international Asset Management business, reporting to the Head of APAC Risk. The role offers excellent exposure to someone looking to develop their career in an asset management based risk and compliance role. You will provide technical research and consultation to support compliance programs and activities in all of Northern’s international units but with particular focus on APAC and within a global framework.  Acting as a partner to both risk/compliance team members and managers and staff in the business units, you will provide consultation and advice on regulatory matters and manage the portfolio compliance activity 

 

  1. Providing technical research and consultation to support risk and compliance programs and initiatives
  2. Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
  3. Review of marketing materials to support cross-border sales activity to support sales and relationship management team.
  4. Support regulatory inquiries and examinations
  5. Assist in the development and maintenance of risk and compliance frameworks and related policies and procedures
  6. Assist in implementation of training programs with subject matter experts, and Corporate Compliance.
  7. Provide daily oversight over the portfolio compliance activity for APAC accounts
  8. 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.
  9. Provide back up support to the wider risk and compliance team as and when required.
  10. Assist in reporting to various governance committees

 

 

Your Knowledge/Skills:

  • Experience in advising and/or monitoring of asset management business
  • Working knowledge of International regulations e.g. MiFID II, UCITS, SEC, APAC regulators.
  • Working knowledge of cross-border marketing rules
  • Strong background in and understanding of investment management products and services
  • Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and 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.

 

The competencies that would be valuable for this role include:

  • Excellent communication, written and verbal
  • Client focused relationships
  • Time management
  • Decision making/judgement and analytical skills
  • Persuading, influencing and problem solving
  • Ability to make decisions on your own whilst also being a team player to ensure issues are appropriately resolved

 

As of March 31, 2019, Northern Trust Corporation had:

  • $10.9 trillion in assets under custody/administration
  • $8.2 trillion in assets under custody
  • $1.2 trillion in assets under management
  • $122 billion in banking assets

 

Northern Trust is an equal opportunity employer. We aim for excellence in our efforts to recruit, develop and deploy the highest caliber workforce. Our commitment and success to a diverse workforce is evident in employee satisfaction and industry acknowledgment. For a list of all our achievements please click here.

  

For a private discussion please contact Gez Williams on +61 3 9935 8204. 

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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), +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 EEO Statement
    • APAC 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