Senior Consultant - Compliance
Job Type: Full time
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide 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 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
The role is for a Senior Compliance Consultant, based in Melbourne. You will work within a regional Asset Management Compliance team operating in a successful international Asset Management business, reporting to Head of Asset Management Compliance APAC, based in Singapore.
The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role. The position will provide technical research and consultation to support compliance programs and activities within the newly established asset management legal entity in Australia, as well as other Northern’s international units within APAC and globally. Acting as a partner to compliance team members and managers and staff in Australia and throughout the APAC region, you will provide consultation and advice on regulatory matters, product governance and conduct monitoring.
What you will do:
- Providing technical research and consultation to support compliance programs and initiatives
- Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
- Support regulatory inquiries and examinations
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Develop and implement training programs with subject matter experts, and Corporate Compliance.
- Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department’s activities.
- Provide back up support to the wider and compliance team as and when required
- Attendance and reporting to various committees
- Proven experience in advising and/or monitoring of asset management business
- Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
- Working knowledge of ASIC regulations, while also benefiting from international exposure e.g. APAC regulators, UCITS, SEC
- Prior experience in the interpretation and analysis of complex investment management agreements and industry standards
- Analytical ability to identify and understand problems and provide effective solutions
- Highly motivated individual who has a proven record of using initiative to resolve problems
- Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
- Excellent verbal and written communication skills
- Desire to stay in front of new business/regulatory developments
- Excellent organizational and analytical skills.
Working with Us:
As a Northern Trust partner, greater achievements await. 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! Join a workplace with a greater purpose.
We have a balanced hybrid working model to ensure you get the flexibility you need, and the successful candidate will spend their time between working in the office and working from home.
In Australia, we are actively involved in many ways with both community and diversity organisations, which includes paid volunteer days. For families, we offer a very generous parental leave scheme, and all staff have access to subsidised health insurance if they choose.
We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and ethical companies. Build your career with us and apply today! #MadeForGreater
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 our HR Service Centre at MyHRHelp@ntrs.com.
We hope you’re excited about the role and the opportunity to work with us.
We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.