Regulatory Compliance Specialist
5 hours ago
About 023 Northern Trust Company Australia:
A Fortune 500 company and globally recognized, award-winning financial institution, we have been in continuous operation since the late 19th century.
We take pride in providing 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 a century of financial experience and over 22,000 partners worldwide, we serve the world's most sophisticated clients using leading technology and exceptional service.
Job Summary
This Rules, Obligations & Inventory Specialist role sits within the Global Regulatory Affairs Office (GRAO) with responsibility for providing subject matter expertise across a multi-year regulatory and risk program.
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.
Main Responsibilities
- Support the Program Lead for Rules Inventory and build out for legal entities and business units in region, working within a global team against agreed prioritization, milestones, and deliverables.
- Collaborate 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 we operate.
- 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.
- Take ownership of activities but solicit support as needed to drive successful regulatory outcomes and foster an environment of transparency and trust within their management hierarchy.
Required Skills and Qualifications
The successful candidate will benefit from having:
- A deep understanding of regulatory, compliance, and risk-related matters in the region.
- Knowledge of the financial services industry, especially asset servicing, wealth management, and banking, and the regulatory environment in which they operate, including emerging regulatory themes within the industry.
- Strong attention to detail and analytical skills to collect data and find fact patterns that may drive policy development and risk management.
- Excellent 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 manage upwards and downwards.
- Strong problem-solving skills, organizational skills, and time management skills.
Estimated Salary: AU$120,000 - AU$180,000 per annum
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