Senior Compliance Professional
2 weeks ago
About the Role
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. The team reports locally to the EMEA Compliance Testing Regional Manager.
We are seeking an experienced professional to join our team as a Compliance Tester. This role involves working with the EMEA Compliance Testing Regional Manager and partners to complete and report on specific Guernsey related reviews. The successful candidate will be responsible for execution of the testing program.
This role requires the ability to independently plan and execute specific reviews, identify issues and underlying root-cause analysis, agree solutions and communicate findings effectively, both orally and in writing.
Key Responsibilities:
- Establish the appropriate scope and test steps for individual reviews
- Conduct and document testing reviews to assess compliance with and adherence to regulations/legislation and internal policies
- Engage with Compliance SME's to understand any matters for concern related to applicable reviews
- Follow established EMEA and Global policies, procedures and standards for testing activities
- Apply analytical skills to review information and determine potential weaknesses or exceptions to policies / processes
- Validate and summarise testing results in clear, concise language
- Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures
- Tracking of identified issues to closure via periodic follow up with action owners
- Validation testing to ensure actions have been adequately closed
- Develop relationships with Internal Audit to coordinate testing efforts and share results
- Conduct meetings with business unit partners and management to discuss testing results and where applicable challenge management responses
- Support the Regional Manager with ad hoc tasks
Skills and Qualifications
- Proven experience related to compliance, compliance testing/monitoring or auditing
- Knowledge of Guernsey and/or EU regulations and key regulatory developments would be an advantage
- Highly motivated individual who has a proven record of using initiative to resolve problems
- Analytical ability to identify and understand problems as well as to provide effective solutions
- Excellent written and oral communication skills
- Attention to detail
- Confidence and expertise to advise and challenge senior management and the business
- Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
- Ability to deal effectively with multiple competing deadlines
Benefits
At Northern Trust, we offer a range of benefits designed to support your physical, mental and financial wellbeing. These include access to flexible work arrangements, employee discounts and rewards programs, training and development opportunities, health and wellness initiatives and more.
Why Join Us?
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email us at [HR Service Center Email].
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