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Regulatory Reporting Officer

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Accounting/Finance/Tax/Audit
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75204 Requisition #
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Role Purpose:

Northern Trust Asset Management is a multi-asset class investment manager offering a broad range of investment solutions. The primary focus of this role will be to ensure NTAM meets its reporting obligations across multiple regulations and support our regulatory regime, ensuring NTAM is not exposed to reporting failures, risks or financial costs. Functions will include trade monitoring across multiple vendor platforms and account setup and maintenance to support relevant reporting processes. Knowledge of MiFID2 and EMIR reporting obligations is required. Strong analytical and communication skills are required to research and resolve queries and issues. The ideal candidate should have a strong teamwork ethic but be able to work independently in a time sensitive environment as well. 

Key Responsibilities: 

Ensure timely and accurate regulatory reporting via various system platforms to support EMIR and MiFID2 obligations
Monitor systems to identify exceptions and ensure required amendments are completed
Provide oversight for any front office regulatory reporting completed in offshore locations
Work with Technology and any other relevant teams to ensure data gaps/discrepancies are addressed
Validate changes required to satisfy any new front office regulatory requirements
Ensure supporting procedures are accurate and kept up to date  
Keep up-to-date with regulatory changes affecting NTAM reporting regime
Daily review of transactions reported. Investigate any inaccuracies identified and coordinate directly with Technology/Operations teams to resolve
Serve as the regulatory liaison between the Front Office Support team and all other NTAM/NT teams
Work closely with other NTAM partners in support of the business
Ensure the timely and accurate setup of new accounts on relevant systems coordinating with the New Account Opening team
Work as part of a local and global team with members based in London, Hong Kong, Chicago and India
Responsible for identifying and resolving problems within established procedural guidelines 
Be risk averse, identify process or business risks and escalate to line manager 
Knowledgeable of all core procedures and aspects of the role
Experience and Skills

Extensive experience of MiFID2 and EMIR reporting processes and oversight tasks
Understanding of regulatory reporting criteria’s as they relate to MiFID2 and EMIR
In-depth knowledge of current/future regulatory reporting landscape
Analytical skills to resolve and research queries and issues
Good verbal and written communication skills
Strong MS-Excel skills
Experience with Unavista, Trax, Bloomberg, FxAll, FX Connect and key NT Systems (e.g. Charles River, Blackrock Aladdin) is beneficial
Good Process and procedure development 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