Trade Surveillance, Senior Consultant

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 key responsibilities of the role include:

• Review daily alerts related to market abuse surveillance within the asset manager
• Portfolio trading reviews with wider surveillance touchpoints
• Offer suggestions for enhancements to connection points with holistic program
• Comfortable creating management reports that will be circulated to senior leadership
• Manage key relationships with the desk and compliance leaders across the organization
• Maintain high standards of written and verbal communications, ensuring attention to detail in all cases
• Self-starter using effective time management by setting priorities and consistently meeting deadlines
• Analyzes possible solutions using technical experience and judgment and precedents
• Impacts quality of own work and the work of others on the team
• Works within guidelines and policies

The successful candidate will benefit from having:

Experience:

• Provides informal guidance to new team members
• A College or University degree and/or relevant proven work experience is preferred
• 2+ years of direct experience in Surveillance or compliance related process in a Financial Institution or equivalent
• Direct Experience in Fixed income, futures & FX products helpful
• Bloomberg, Compliance Alpha, Aladdin & general OMS Knowledge preferred
• Any relevant financial certifications is preferred

Knowledge:

• Requires ability to communicate in a clear, concise and effective manner (verbal and written)
• Requires knowledge in Financial markets and Compliance practices
• Requires general knowledge of Surveillance and willing to contribute to program development
• Requires knowledge of Asset Management, Equities, FX, fixed income, Futures products,
• Displays confidence and expertise to advise management and the business
• Applies earned experience providing compliance advisory/consultancy and operational support
• Requires proactivity and minimal supervision
• Displays strong leadership skills, a collaborative approach to work, with strong interpersonal skills
• Deals effectively with different personalities to address competing deadlines
• Requires attention to detail
• Requires expanded conceptual knowledge in own job discipline
• Understands key business drivers; uses this understanding to accomplish own work
• Explains complex information to others in straightforward situations

Salary Range:

$83,100 - 141,300 USD

Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.

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 and apply today.

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.

Apply today and 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.