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Regulatory Rules Specialist
2 months ago
Northern Trust Company Australia is a leading financial institution that has been in continuous operation since 1889. We are a globally recognized, award-winning company that provides innovative financial services and guidance to the world's most successful individuals, families, and institutions.
We are proud to provide exceptional service and expertise to our clients, remaining true to our enduring principles of service, expertise, and integrity. With over 130 years of financial experience and a team of over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Role/DepartmentThe Global Regulatory Affairs Office (GRAO) is responsible for overseeing the enhancement of our risk management and controls, remediation of regulatory and audit findings, and the administration of regulatory affairs. This Regulatory Rules Specialist role sits within the GRAO with responsibility for providing subject matter expertise across a multi-year regulatory and risk program.
This role will report into the Regulatory Risk & Oversight Manager who has responsibility for delivery of the Rules Inventory as part of the Compliance Program. This key pillar of the Program involves delivery of critical 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 working with diverse, cross-functional teams and stakeholders across the organization.
Key Responsibilities- Support the Program Lead for Rules Inventory and the 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 NT operates.
- Support Working Group meetings, maintaining efficient and appropriate governance to enable successful outcomes.
- 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.
- Serve as an individual contributor who takes ownership of activities but solicits support as needed to drive successful regulatory outcomes and fosters an environment of transparency and trust within their management hierarchy.
The successful candidate will benefit from having:
- Deep understanding of regulatory, compliance, and risk-related matters in region.
- Knowledge of the financial services industry, especially asset servicing, wealth management, and banking, and the regulatory environment in which they operate, including regulatory themes emerging within industry.
- Strong attention to detail and analytical skills to collect data and find fact patterns that may drive policy development and risk management.
- Great skills across 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 managing upwards and downwards (e.g., experience with acting as a constructive conduit between business and non-business teams).
- Strong problem-solving skills, organizational skills, and time management skills.
As a Northern Trust Company Australia 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.
