Regulatory Rules, Obligations
4 weeks ago
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/Department
The Global Regulatory Affairs Office (GRAO) is responsible for overseeing the enhancement of our risk management and controls, remediation of regulatory and audit findings and the administration of regulatory affairs. This Rule, Obligations & Inventory Specialist role sits within the GRAO with responsibility for providing subject matter expertise across a multi-year regulatory and risk program.
This role will report into the Regulatory Risk & Oversight Manager who has responsible for delivery of the Rules Inventory as part of the Compliance Program. This key pillar of the Program involves delivery of critical strategic enterprise capabilities for Northern Trusts rule and obligation applicability.
The ideal candidate will have a track record of leading complex projects and transformation, with deep compliance and risk knowledge and working with diverse, cross-functional teams and stakeholders across the organization.
The key responsibilities of the role include:
- Responsible for supporting the Program Lead for Rules Inventory and the build out for legal entities and business units in region.
- Working within a global team, against agreed prioritisation, milestones, and deliverables.
- Collaborating with legal and regulatory subject matter experts across all Lines of Defense to strengthen understanding and rationale around regulatory interpretation and enable the build out of the Rule Inventory across the jurisdictions in which NT operates.
- Support Working Group meetings maintaining efficient and appropriate governance to enable successful outcomes.
- Maintain clear documentation, data and audit trails around interpretation and traceability for future reference, linking into legal entity, regulatory license, business unit and product data; and the firm's Risk Inventory.
- Serve as a key contributor to continuous improvement on the Rules Inventory framework and governance models underpinning compliance and legal risk to maintain the strategy and sustainability.
- Serve as an individual contributor who takes ownership of activities but solicits support as needed to drive successful regulatory outcomes and fosters an environment of transparency and trust within their management hierarchy.
Skills / Experience
The successful candidate will benefit from having:
- Deep understanding of regulatory, compliance and risk related matters in region.
- Knowledge of the financial services industry, especially asset servicing, wealth management and banking, and the regulatory environment in which they operate including regulatory themes emerging within industry.
- Strong attention to detail and analytical skills to collect data and find fact patterns that may drive policy development and risk management.
- Great skills across communication, facilitation, interpersonal, conflict resolution, team building, coaching members on practices, framework, ability to teach/train etc.
- Ability to establish trust-based relationships with stakeholders across enterprise, lead them towards common objectives and managing upwards and downwards (e.g., experience with acting as a constructive conduit between business and non-business teams).
- Strong problem-solving skills, organizational skills and time management skills.
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.
Reasonable accommodation
Northern 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.
Talk to us about your flexible working requirements and together we can achieve greater.
For further information, and to apply, please visit our website via the "Apply" button below.
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