Regulatory Affairs Specialist for Risk and Compliance
7 days ago
About Northern Trust: A Financial Institution with a Global Presence
Founded in 1889, Northern Trust is a renowned Fortune 500 company that has been serving the world's most successful individuals, families, and institutions with innovative financial services and guidance.
The Global Regulatory Affairs Office (GRAO) plays a crucial role in enhancing risk management and controls, remediation of regulatory and audit findings, and the administration of regulatory affairs. This Rules, Obligations & Inventory Specialist role sits within the GRAO, responsible for providing subject matter expertise across a multi-year regulatory and risk program.
This specialist will report to the Regulatory Risk & Oversight Manager, who oversees the delivery of the Rules Inventory as part of the Compliance Program. This critical pillar involves the creation of strategic enterprise capabilities for Northern Trust's 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 experience working with diverse, cross-functional teams and stakeholders across the organization.
Key Responsibilities:
- Supporting the Program Lead for Rules Inventory and building out 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 jurisdictions.
- Maintaining efficient and appropriate governance during Working Group meetings to enable successful outcomes.
- Maintaining 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.
- Serving as a key contributor to continuous improvement on the Rules Inventory framework and governance models underpinning compliance and legal risk to maintain strategy and sustainability.
- Serving as an individual contributor taking ownership of activities but soliciting support as needed to drive successful regulatory outcomes and fostering an environment of transparency and trust within their management hierarchy.
Requirements:
- 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.
- Strong attention to detail and analytical skills to collect data and find fact patterns driving policy development and risk management.
- Excellent communication, facilitation, interpersonal, conflict resolution, team-building, coaching, and training skills.
- Ability to establish trust-based relationships with stakeholders across the enterprise, lead them towards common objectives, and manage upwards and downwards.
- Strong problem-solving, organisational, and time management skills.
About the Role:
This Regulatory Affairs Specialist position offers the opportunity to work with a globally recognised financial institution with a strong commitment to service, expertise, and integrity. The ideal candidate will be part of a flexible and collaborative work culture where movement within the organisation is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve.
We offer a competitive salary package ranging from $120,000 to $180,000 AUD per annum, depending on experience, plus benefits including professional development opportunities, flexible working arrangements, and a dynamic work environment.
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