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Financial Institution Corporate Compliance Analyst/Consultant

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Risk Management/Compliance
📅
72882 Requisition #
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Description

We are looking to fill a Compliance Consultant/Analyst role to:

  • Advise corporate and business functions on regulatory filing requirements in connection with domestic and foreign investments as well as legal entity and branch management
  • Draft and file the actual notices with staff at various state and federal banking agencies
  • Assist the business with public welfare investments, completing the appropriate notice and filing requirements
  • Provide guidance on general Federal Reserve membership requirements including Bank Holding Company (Regulations H and Y) and international banking operations (Regulation K)


Key Responsibilities
•Provide guidance to business, risk, and legal partners across the enterprise on regulatory filing requirements
•Draft and file notices with various banking regulatory agencies
•As new rules/requirements are issued for respective area(s) of coverage, confirm that a regulatory change work stream or Northern Trust Business Unit has a project or plan for compliance
•Areas of coverage include Federal Reserve regulations H (membership in the Federal Reserve System), K (International Banking Operations), and Y (Bank Holding Companies and Change in Bank Control)
•Confirm that requirements for respective area(s) of coverage are incorporated in risk assessments (as applicable). Work with regulated entity compliance officers and Business Unit managers to confirm that controls and monitoring techniques are in place for compliance with requirements for respective area(s) of coverage.
•Assist with filing the legal entity identifiers for various legal entities across the globe
•Maintain inventory of various licenses in conjunction with the legal function
•Assist with other compliance and regulatory duties as assigned

 Qualifications
•Bachelor’s Degree and JD preferred
•Three to five years of compliance/risk management/regulatory experience preferred
•Well-developed writing skills and the ability to clearly communicate to non-compliance and non-legal audiences
•Ability to learn new subject areas quickly and competently
•Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external senior stakeholders
•Comfortable with taking the initiative but capable of recognizing complex problems and comfortable bringing questions to management
•Advanced critical thinking and problem-solving skills
•Experience in project management or comfortable with using project management ideas
•Working knowledge of Microsoft Office and Excel is required, extensive knowledge of Excel is preferred

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 18,100 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 June 30, 2018, Northern Trust Corporation had:

$135 billion in banking assets
$8.1 trillion in assets under custody
$10.7 trillion in assets under custody/administration
$1.1 trillion in assets under management

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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