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Senior Consultant, Capital Markets (FX, Securities Lending & Structured Finance

📁
Risk Management/Compliance
📅
75168 Requisition #
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We are looking for a candidate that has business, risk/compliance, regulatory or control-related experience in securities lending, foreign exchange, and/or structured finance. The ideal candidate will have 3 - 5 years’ experience in one of these subject areas. We expect that the candidate will obtain additional in-depth knowledge of relevant regulations and local laws through the course of his/her compliance duties.


This person will be responsible for overseeing the review, interpretation, and dissemination of current and proposed laws and regulations. The person will provide consultation and advice to partners regarding compliance risk avoidance. This person also will participate in the establishment of business development strategies to minimize risk and assure compliance with applicable laws and regulations. Communication and analytical skills are necessary to consult with partners/clients, and analyze information and apply regulations.

 

Role-Related Activities


• Advises business partners, including senior management, on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.


• Develops Compliance programs and acts as a contact point within the Company for Compliance inquiries from partners.

 

• Establishes written guidance on the appropriate implementation of Compliance programs and laws, regulations, rules and standards, through policies and procedures and other documents, such as Compliance manuals, internal codes of conduct and practice guidelines.

 

• Assists senior management in developing Compliance programs and identifying partners who are required to take certain training.

 

• Identifies, documents, and measures Compliance risk to enhance Compliance risk assessments and assess the appropriateness of the company's Compliance procedures and guidelines.

 

• Identifies situations which may pose significant risk and guides management in developing policies and/or procedures that minimize such risk.


• Interacts with business partners, regulators, and internal and external auditors on regulatory topics.


• Operates independently; has in-depth knowledge of Compliance risk avoidance.


• Serves as a subject matter expert or other resource within a group for regulatory Compliance matters.


• Reviews work of others.

• Bachelors Degree


• 3 -5 years’ relevant experience with a financial institution or financial services firm


• Strong critical thinking and problem-solving skills


• Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external stakeholders

• Strong communication skills


• Sound project management capabilities

 

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