CAREERS

Compliance Specialist, Senior Consultant

📁
Risk Management/Compliance
📅
79689 Requisition #

Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion.


Department Overview


Mission:
Responsible for controlling compliance of NTGS SE with regulations, especially AML/CTF, Data Privacy and MiFID II regulations and advising the businesses in Luxembourg location.


Support preparation of ad hoc reports both internally (within the Northern Trust Group entities) and externally (fund auditors). and maintain compliance policies and procedures in accordance with regulatory and Northern Trust Group requirements. He / She shall report to the deputy chief compliance officer, who is at the same time MLRO.


Task Description

• Control compliance of NTGS SE with Luxembourg and EU regulations applicable to NTGS SE
• Deliver “consultancy” style service to partners in the Luxembourg business providing challenge to the business and escalation to Luxembourg and EMEA compliance as necessary;
• Produce and provide Compliance reporting when required;
• Attend relevant business and compliance meetings;
• Interacts and develops strong relationships with internal and external auditors and other members of the Risk and Compliance team, both in Luxembourg and across Northern Trust offices;
• Perform regulatory watch;
• Support the maintenance of Compliance policies and standards, inclusive of performing quality checks of the content;
• Provide ad hoc training to the business when required;
• Undertake monitoring reviews and follow-up on any identified compliance issue until completion.

Qualifications

• Bachelor degree, CAMS and/or Compliance certification issued by the Luxembourg House of Training would be an asset.
• Fluency in English and French is required, German Knowledge could be an asset
• Knowledge of Transfer Agency, Fund Accounting, Capital Market services and bank governance;
• Sound knowledge of the following pieces of legislations and regulations in Luxembourg:
Banking, UCI, AML-CTF, Data protection & Mifid II.
• Experience of providing compliance advisory support to operational business areas within a financial services environment;
• Proven record of problem solving and delivering effective solutions;
• To be successful in the role our final candidate will have to be a good communicator, autonomous, team player  with strong analytical skills and proven ability to Influence, guide Judgement to be focussed on Issue Resolution;

 

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.

 

As Northern Trust is a financial organisation; all new employees will be required to undergo a criminal record check.

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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), 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