EMEA Brokerage Compliance / Vice President

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EMEA Brokerage Compliance / Vice President
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remote type
Hybrid
locations
London, United Kingdom
time type
Full time
posted on
Posted Yesterday
job requisition id
R121680
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.Role / DepartmentThe Capital Markets business at Northern Trust is one of the fastest growing areas of our asset servicing business. Core products are brokerage, FX, securities lending & transition management. However, the product roadmap is full including additional asset classes & markets, securities financing & sponsored repo. The compliance team that supports and oversees the business is a vital part of our control function & forms a solid partnership with the business whilst maintaining its own independence as a part of the second line of defence. Key regulations are MIFID II, MAR, EMIR, SFTR & CSDR as well as the various rules from each relevant national authority.This team sits within the regional compliance & financial crime function. Northern Trust is currently seeking a Senior Consultant, Compliance to focus on our EMEA Brokerage business and this role will report into the head of International Capital Markets Compliance.Major DutiesPrimary day-to-day compliance resource for our EMEA Brokerage business.Advisory activities including responding to question from first line & clients & liaison with legal, risk, testing & audit.Engagement with Capital Markets EMEA Senior Leadership on new initiatives and projects.Provide mentoring and guidance to the rest of the EMEA Capital Markets Compliance team.Attendance at relevant governance meetings and committees covering EMEA region such as Best Execution Council.Regulatory Development Monitoring for the EMEA brokerage business including analysis and socializing with first line stakeholders.Business Process and Change Development Monitoring.Compliance Risk Framework Management including maintaining the rule maps & risk assessments.Regular reporting, MI & escalations.Carry out and report on compliance monitoring and surveillance activities across the range of EMEA business and activities, ensuring timely and effective escalation of any findings.Coordinate with Business Unit Advisory Officers and compliance colleagues providing centralized support in the Corporate Compliance and Global Surveillance teams, on monitoring and surveillance activities.Engage in other ad hoc compliance projects in support of the Capital Markets and Treasury business units.Skills & ExperienceCandidate must have:Previous brokerage experience and knowledge, preferably within a global financial institution and with sales/trading desk advisory experience (primarily covering Securities with derivatives knowledge a plus).Excellent stakeholder management skills.Experience of carrying out compliance monitoring activities in a financial markets business.A good understanding of regulatory systems and controls in a financial markets business and a demonstrable knowledge of trading systems and trading data.Demonstrable knowledge of core financial markets regulations applicable to sales and trading activities; in particular MiFID II, MAR and the FCA’s Conduct of Business rules.Excellent data interrogation and analysis skills and a high degree of comfort working with large data sets.Good level of skill with Excel and/or other data analysis tools; good business-level knowledge of PowerPoint.Excellent communication (verbal and written) and interpersonal skills, and demonstrable experience of working collaboratively, and as part of team.Experience in interfacing and communication with all levels of staffPrevious experience in dealing with regulators across broad range of issuesWork in partnership with risk, compliance and control team colleagues regionally / globally, including sharing of information and knowledgeTake responsibility for EMEA Brokerage policies and procedures for the regional brokerage business, including those for internal Compliance useDevelop and conduct training as requiredDevelop, execute and deliver compliance related projects. Ability to think laterally and solve problems, and to assess regulatory risk in a proportionate and business appropriate way.Good organizational skills and proven ability to meet deadlines and produce detailed compliance monitoring reports and escalations in a timely manner.DesirablesPrevious exposure to CFTC Swap Dealer compliance requirements for FX.Previous exposure to Securities Financing and Securities Lending compliance requirements. Working 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.
About UsLooking 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.
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 StatementsAPAC/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.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 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.
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