Analyst, Compliance Surveillance

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.

Summary:

Detects potential market abuse and conduct issues thru surveillance of e-communication, audio and trade platforms of Northern Trust. Detects and advises management of potential escalation issues and recommends those issues for further review. Researches and develops solutions for issues being addressed by the team as needed. Assist the team in generating reports, organizing productivity data and metrics analysis. Uses specific knowledge of Surveillance to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience. Uses expertise to provide guidance to others as a project manager or consultant. Requires conceptual knowledge of theories, practices, and procedures within Surveillance. Performs routine assignments using existing procedures. Receives instruction, guidance and direction from more senior level roles.

Major Duties:

• Conducts analyst reviews of trades, e-comms and audio
• Performs 1st Level reviews of trades, e-comms and audio potential escalations
• Offers suggestions for enhancements to connection points with either program as or if needed
• Assists in creating monthly, quarterly, annual reports and other relevant reports to the surveillance process
• Manages and updates content Manila Compliance Surveillance SharePoint site.
• Maintains high standards of written and verbal communications, ensuring attention to detail in all cases
• Completes all assigned tasks using effective time management by setting priorities and consistently meeting deadlines
• Uses existing procedures to solve standard problems; analyzes information and standard practices to make judgments
• Works within standardized procedures and practices to achieve objectives and meet deadlines

Knowledge/Skills:

• Requires ability to communicate in a clear, concise and effective manner (verbal and written)
• Requires knowledge in Financial Institution Regulatory and Compliance
• Requires general knowledge of Global/Regional Financial Institution regulations and bank program implementation activities
• Requires knowledge of Asset Management, Institutional trades, FX, derivatives, securities lending, transition management and brokerage trade surveillance
• Displays confidence and expertise to advise management and the business
• Applies earned experience in providing compliance advisory/consultancy and operational support
• Requires proactivity and minimal supervision
• Deals effectively with different personalities to address competing deadlines
• Applies general knowledge of business developed through education or past experience
• Exchanges straightforward information, asks questions and checks for understanding

Experience Required:

• Accountable for own contributions
• A College or University degree and/or relevant proven work experience is required
• At least 2 years of experience in Surveillance or any compliance related process in a Financial Institution or equivalent
• Experience as an SME in offshore banking and financial services team/s
• Any relevant financial certifications is preferred

Work Schedule:

EMEA Shift (4:00PM - 1:00AM), M-F, Hybrid

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’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us.

Reasonable accommodation

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 Center 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.

Talk to us about your flexible working requirements and together we can achieve greater.

For further information, and to apply, please visit our website via the “Apply” button below.