Analyst, Compliance
Northern Trust Corporation
Manila, National Capital Region,Philippines
2d ago

Responsibilities

  • Conducts and documents independent compliance testing for Northern Trust, financial services regulated entities within the APAC region, including the identification of testing requirements
  • Implements and enhances the APAC GCT program in coordination with local, regional and global GCT partners and regional compliance functions
  • Executes the annual APAC GCT plan by conducting GCT testing, working closely with manager and meeting scheduled deadlines
  • Performs reviews within the deadlines and scope outlined and agreed while considering both global and regional requirements as well as local policies and regulations
  • Follows established policies, procedures and standards for testing, including appropriately documenting testing performed
  • Apply analytical skills to identify potential gaps or areas for control enhancement within the first and second lines of defense
  • Validates and communicates results in clear, concise language, escalating key risks in a timely manner
  • Tracks issues identified and conduct risk-based testing of solutions implemented
  • Partner with Audit senior management, business partners and relevant compliance functions to coordinate GCT testing
  • Develop strong relationships with Business Units
  • On an ad hoc basis, advise business partners on applicable laws, regulations, rules, standards and best practices which may impact their business
  • Works closely with global and regional GCT teams as required
  • Works in partnership with the wider Manila and APAC Compliance, Risk and Controls teams
  • Produces and analyze GCT reports and data for internal committees and boards
  • Attends training and information sessions to continue to build knowledge regarding the regulatory environment and to enhance personal development
  • Prefers knowledge of Custody, Asset Servicing, FX, Fund Administration, Brokerage businesses as well as corporate governance such as outsourcing and bank secrecy requirements.
  • Qualifications

  • Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)
  • Experience related to monitoring / testing experienceincluding operational risk expertise
  • General knowledge of bank compliance regulations is required; knowledge of specific topics such as payments, market abuse, privacy, AML, ABC, Sanctions, fraud is a plus
  • Understanding of APAC regional regulations (e.g., MAS, SFC, JFSA, APRA, ASIC, Korean FSC / FSS, CBIRC / PBOC) and relevant laws
  • Confidence and expertise to advise management and the business
  • Experience providing compliance advisory and operational support
  • Ability to use initiative and work unsupervised in a proactive manner
  • Strong organizational skills, a collaborative approach to work, with strong interpersonal skills
  • Ability to deal effectively with multiple competing deadlines
  • Attention to detail
  • 3-5 years of related experience
  • Apply
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