Senior Compliance Specialist
4 weeks ago
Northern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we have established ourselves as a trusted partner for individuals, families, and institutions seeking innovative financial solutions.
Role SummaryThe Senior Compliance Consultant will be part of our APAC Asset Management Compliance team, working closely with regional and global stakeholders to ensure compliance with regulatory requirements. This role offers an excellent opportunity for career growth and development in a dynamic and supportive environment.
Key Responsibilities- Monitor and test APAC regulatory and corporate compliance obligations
- Supervise and monitor Hong Kong-based equity and FX trading activities
- Provide technical research and consultation to support compliance programs and initiatives
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Support senior members of the department in the identification, planning, and execution of departmental activities
- Proven experience in advising and/or monitoring asset management businesses
- Strong background in investment management products and services, with in-depth knowledge 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
- Excellent analytical and problem-solving skills
- Ability to work independently and as part of a team
Northern Trust is committed to providing a supportive and inclusive work environment, with opportunities for career growth and development. We offer a competitive salary and benefits package, as well as a range of employee programs and resources to support your well-being and success.
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