Compliance Specialist - Asset Management

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Compliance Specialist - Asset Management (Vice President level)
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locations
London, United Kingdom
time type
Full time
posted on
Posted 3 Days Ago
job requisition id
107947
About Northern Trust:Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.About Northern Trust Asset Management Northern Trust Asset Management (NTAM) is a global Investment Manager with $1.1 Trillion Assets Under Management, is a top 20 global asset manager, top 10 largest factor investor globally and the 12th largest ETF
provider.
We believe investing ultimately serves a greater purpose and should be done intentionally and efficiently … … by people who are passionate, astute and tenacious problem solvers … with the understanding that all investing involves risk and … is best accomplished by using an empirically based process. At Northern Trust Asset Management, we understand that investing ultimately serves a greater purpose. That is why our philosophy is rooted in the fundamental belief that investors should get compensated for the risks they take – in all market environments and in any investment strategy. At the heart of our philosophy is how we think about, view and analyze risk. As risk-aware investors, we take risk intentionally, to achieve investors’ desired outcomes and minimize unintended consequences. In EMEA, Northern Trust Asset Management serves professional investors offers a wide range of investment management capabilities, across active and passive, equities, fixed income and cash management. This includes quant active, sustainable investing, multi-asset, liquidity focused solutions as well as more traditional index management. Capabilities are available through both pooled funds and segregated accounts, with a focus on designing investment strategies to meet the specific needs of investors. NTAM manages the largest European ESG fund and 5/10 largest ESG index funds globally*. Role/ Department: The role is for a Senior Compliance Consultant, based in
London. The
individual will work within a regional Compliance team operating in a successful international Asset Management business, reporting to the Asset Management EMEA Head of Compliance. The role is engaging, hands-on and offers excellent exposure to someone looking to develop their career in an asset management-based compliance role. The role will be supporting the Head of Compliance in providing technical research and consultation on regulatory matters to support compliance programs and activities focusing on EMEA. The individual may be asked to support the wider compliance team as necessary and act as a partner to both Compliance team members and managers and staff in the business units.The key responsibilities of the role include:Support the department in the identification, planning and execution of the department’s activitiesAnalyse and provide technical research and consultation to support risk and compliance programs and initiatives including ESGProvide timely and accurate regulatory and compliance advice to business partnersWork proactively and collaboratively to identify and implement practical and efficient client-centred solutionsFurther develop the function’s compliance monitoring program and management information dashboardsSupport regulatory enquiries and examinationsDevelop and maintain compliance frameworks and related policies and proceduresDevelop and implement training programs with subject matter expertsProvide project support as requiredProvide back up support to the wider compliance team as and when
required, e.g.
review of marketing materials, monitoring activityAttendance and reporting to relevant committees, boards, working groups and forumsKnowledge / Skills:Knowledge of FCA client money rulesPrior experience of fund structures including UCITS, ETFs, AIFsExposure to cross-border regulatory frameworks and rulesUnderstanding of investment management products and services
and knowledge of
securities, cash and derivatives market instrumentsAnalytical ability to identify and understand problems and provide effective collaborative solutionsHighly motivated individual who has a proven record of using initiative and influence to resolve problemsExcellent verbal and written communication skillsExcellent organisational and analytical skillsWorking with Us:As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today. #MadeForGreaterReasonable accommodationNorthern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at ##### .We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.Apply today and talk to us about your flexible working requirements and together we can achieve greater.
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About Us
Looking for greater?You found it. A global financial leader with more than 22,000 employees in 23 locations worldwide, Northern Trust empowers our employees to achieve more than just business goals. Our focus on work-life balance, career mobility and unique opportunities are just a few of the reasons we’ve been named one of the world’s most admired companies.
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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), 1800-425-0333 (India), +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/INDIA EEO STATEMENTIt 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 STATEMENTNorthern 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 STATEMENTIt 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 STATEMENTIt 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 Know Your Rights (U.S.)
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