for this Role
Support ongoing monitoring, tracking, and reporting of key compliance metrics and alerts
Facilitate administration of issues management processes, including issue tracking, reporting, and maintenance of the global issues tracker
Assist with the tracking of training, certifications, and other key requirements for sales and trading personnel
Support additional tasks for the global capital markets compliance program as needed
Three to five years of compliance / risk management / regulatory experience. Compliance experience with a financial institution is a plus
Independent and critical thinker not afraid to suggest enhancements / solutions is preferred
Ability to clearly communicate with various types of audiences
Detail oriented individual with strong organizational skills and the ability to balance several projects at once are a must
Strong written and verbal communication skills are a must
Working knowledge of Microsoft Office (e.g., Word, Excel, and PowerPoint) is required, extensive knowledge of PowerPoint and Excel is a plus
Knowledge of U.S. financial institution regulations, with a focus on CFTC regulations and NFA rules, a plus
Experience performing internal audits or compliance testing are a plus
Working at Northern Trust goes far beyond just having a job. We encourage our partners to bring their full self to the workplace.
Learning how your interests and experience could continue to grow with our longstanding and trusted business is important to us.
In return, we will support you with your personal and career goals in a number of ways :
Financial Life Assurance, Disability Plan, Pension / Gratuity, Annual Pay Review
Work Life Balance Flexible Work Options, Incremental Annual Leave, Community Volunteer Days
Professional Development Clear Career Path, Education Assistance, Recognition Programme, NT University (wide range of online, virtual & in house training options) and employee-led Business Resource Councils dedicated to diversity and inclusion initiatives.
Health & Wellbeing Private Medical Insurance, Active Sports & Social clubs (lunchtime and after-work groups), Employee Assistance Program
We hope you’re excited about this new opportunity to develop your career with us
We value a diverse and inclusive workplace and believe together we can achieve greater.