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Consultant, EMEA Compliance Testing

📁
Risk Management/Compliance
📅
76108 Requisition #
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Overview of Role:

  • EMEA Compliance Testing (ECT) is a functional team within Northern Trust’s Global Compliance Assurance Framework. The team reports locally to the EMEA Compliance Testing Regional Manager.

  • ECT testing consists of risk-based, point-in-time assessment or validation to determine regulatory compliance, and ranges from focused reviews of specific regulatory requirements for a segment of a business to enterprise-wide reviews.  This role involves working with the EMEA Compliance Testing Regional Manager and EMEA Compliance Testing partners to complete and report on specific ECT reviews.

  • The successful candidate will assist EMEA Compliance Testing partners and the EMEA Compliance Testing Regional Manager with the execution of the testing program. The candidate will be  responsible for assisting in the planning and executing of specific reviews, identifying issues and underlying root-cause analysis, agreeing solutions and communicate findings effectively, both orally and in writing.

Principal Responsibilities:

  • Assist in the establishment of the appropriate scope and test steps for individual reviews, seeking input from Compliance partners and the EMEA Compliance Testing Regional Manager

  • Conduct and document testing reviews to assess compliance with and adherence to regulations/legislation and internal policies

  • Follow established EMEA 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 summarise testing results in clear, concise language

  • Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures

  • Develop relationships with internal audit to coordinate testing efforts and share results.

  • Conduct meetings with business unit partners and management to discuss testing results and where applicable challenge management responses

  • Work effectively as an individual contributor as well as in a team environment 

  • Develop strong relationships with the first and third lines of defence

 

Skills / Experience Required:

 

  • Proven experience related to compliance, compliance testing  or auditing

  • Knowledge of UK and/or EU regulations and key regulatory developments would be an advantage

  • Highly motivated individual with record of using initiative to resolve problems

  • Analytical ability to identify and understand problems

  • Excellent written and oral communication skills

  • Attention to detail

  • Ability to advise and challenge management and the business

  • Ability to take initiative

  • Strong Communications skills

 

About Northern Trust:

 

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 18,500 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.

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.

   

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.

 

As of December 31, 2018, Northern Trust Corporation had:


  • $10.1 trillion in assets under custody/administration

  • $7.6 trillion in assets under custody

  • $1.1 trillion in assets under management

  • $132 billion in banking assets

         

 

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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