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Analyst, Swaps and Financial Markets Compliance

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Risk Management/Compliance
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72498 Requisition #
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Provides support for the Bank’s Swap Dealer and financial markets compliance program, including researching and analyzing regulations and guidance issued by regulators, identifying risk and compliance issues, providing training and other assigned duties. 

Assists the Swap Dealer Chief Compliance Officer in advising business units of potential compliance issues. 

Monitors and reviews procedures and practices to assure compliance with applicable regulatory requirements and internal bank policies.  

Helps identify and document compliance risks associated with the bank’s swap dealing and other financial markets activities. 

Responds to internal and external inquiries and requests for information to clarify regulatory requirements, and may recommend appropriate policy or procedural changes.  

Participates in training of partners and delivering communications to create awareness of applicable laws and regulations. 

Performs compliance-related activities through direct and indirect interaction with various risk committees and senior bank management.


2 - 5 years of related experience in financial markets. 


Knowledge of applicable rules and regulations, usually acquired through formal education or experience is preferred. 


Experience working in a swaps trading environment or other capital markets experience is preferred.  


Must possess strong written and verbal communication skills and have the ability to communicate ideas and issues to colleagues across and throughout the bank.  


Strong organizational skills and the ability to balance several projects at once are a must. 


Experience with regulatory agencies such as the NFA and/or the CFTC, and experience performing internal audits or compliance testing are a plus.


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.



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