Compliance Analyst, Capital Markets

Manila, National Capital Region, Philippines
26 Mar 2021
26 Apr 2021
Contract type
Full time

We are looking to fill a Capital Markets Compliance Analyst to provide support for the swaps and capital markets compliance program, including administering key monitoring and issues management programs, reviewing policies and procedures for alignment to applicable regulations, and other assigned duties. This role will liaise with compliance and business partners globally to gather and review documentation and prepare key management reporting materials. The role requires independent and critical thinking to take in various inputs to translate into a clear and understandable output.

Key Responsibilities for this Role

  • Support ongoing monitoring, tracking, and reporting of key compliance metrics and alerts
  • Facilitate administration of issues management processes, including issue tracking, reporting, and maintenance of the global issues tracker
  • Assist with the tracking of training, certifications, and other key requirements for sales and trading personnel
  • Support additional tasks for the global capital markets compliance program as needed
  • Desirable Skillset

  • Three to five years of compliance/risk management/regulatory experience. Compliance experience with a financial institution is a plus
  • Independent and critical thinker not afraid to suggest enhancements/solutions is preferred
  • Ability to clearly communicate with various types of audiences
  • Detail oriented individual with strong organizational skills and the ability to balance several projects at once are a must
  • Strong written and verbal communication skills are a must
  • Working knowledge of Microsoft Office (e.g., Word, Excel, and PowerPoint) is required, extensive knowledge of PowerPoint and Excel is a plus
  • Knowledge of U.S. financial institution regulations, with a focus on CFTC regulations and NFA rules, a plus
  • Experience performing internal audits or compliance testing are a plus
  • Working at Northern Trust goes far beyond just having a job. We encourage our partners to bring their full self to the workplace. Learning how your interests and experience could continue to grow with our longstanding and trusted business is important to us.. In return, we will support you with your personal and career goals in a number of ways:

  • Financial – Life Assurance, Disability Plan, Pension/ Gratuity, Annual Pay Review
  • Work Life Balance – Flexible Work Options, Incremental Annual Leave, Community Volunteer Days
  • Professional Development – Clear Career Path, Education Assistance, Recognition Programme, NT University (wide range of online, virtual & in house training options) and employee-led Business Resource Councils dedicated to diversity and inclusion initiatives.
  • Health & Wellbeing – Private Medical Insurance, Active Sports & Social clubs (lunchtime and after-work groups), Employee Assistance Program
  • We hope you’re excited about this new opportunity to develop your career with us

    We value a diverse and inclusive workplace and believe together we can achieve greater.

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

    Similar jobs

    Similar jobs