Compliance Expert

3 weeks ago

Melbourne, Victoria, Australia Northern Trust Corporation Full time

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution with a rich history dating back to 1889.

We 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 over 130 years of financial experience and more than 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Role Summary:

The Senior Compliance Consultant will work within a regional APAC Asset Management Compliance team operating in a successful international Asset Management business.

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 across Northern Trust's APAC businesses and globally.

Partnering with compliance team members and managers and staff in Australia, Hong Kong, Singapore, Japan, and globally, the incumbent will lead development and execution of compliance monitoring and testing tasks, including over investment activities, conduct and products and services, as well as participate in the overall management of compliance systems.

Responsibilities:

  • Monitoring and testing of the APAC regulatory and corporate compliance obligations
  • Monitoring of employee conduct across APAC units
  • Supervision and monitoring of the Hong Kong-based equity and FX trading activities
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assist in the development and maintenance of compliance frameworks and related policies and procedures
  • 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

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 and other APAC regulators
  • Prior experience in the interpretation and analysis of 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, 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.

We value an inclusive workplace and understand flexibility means different things to different people.

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