Compliance Consultant

6 months ago

Melbourne, Australia Northern Trust Corp. Full time

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:
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 Summary:
The Compliance Consultant will work within a regional Asset Management Compliance team operating in a successful international Asset Management business, reporting to Head of Asset Management Compliance - Australia.

The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role. The position will provide technical research and consultation to support compliance programs and activities within the newly established asset management legal entity in Australia, as well as other Northern’s international units within APAC and globally. Partnering with compliance team members and managers and staff in Australia and throughout the APAC region, the incumbent will provide consultation and advice on regulatory matters, product governance and conduct monitoring, as well as participate in the overall management of compliance systems.

What you will do:

- Providing technical research and consultation to support compliance programs and initiatives
- Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
- Support regulatory inquiries and examinations
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Review of marketing materials to support cross-border sales activity to support sales and relationship management team
- Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department’s activities.
- Provide support to the wider compliance team as and when required
- Attendance and reporting to various committees

About You:

- Proven experience in advising and/or monitoring of asset management business
- Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
- Working knowledge of ASIC regulations, while also benefiting from international exposure e.g. other APAC regulators
- Prior experience in the interpretation and analysis of complex investment management agreements and industry standards
- Analytical ability to identify and understand problems and provide effective solutions
- Highly motivated individual who has a proven record of using initiative to resolve problems
- Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
- Excellent verbal and written communication skills
- Desire to stay in front of new business/regulatory developments
- Excellent organizational and analytical 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.

In Australia, we are actively involved in many ways with both community and diversity organisations, which includes paid volunteer days. For families, we offer a very generous parental leave scheme, and all staff have access to subsidised health insurance if they choose.

Reasonable accommodation


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.

Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexi

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