Sr. Consultant Team Leader, Compliance (Conduct Risk)

Location
Chicago, Illinois, United States
Salary
Unspecified
Posted
30 Apr 2021
Closes
30 May 2021
Ref
87386
Contract type
Permanent
Hours
Full time

The Senior Consultant, Team Leader – Conduct Risk under Corporate Compliance will be responsible for the oversight of the Conduct Risk Framework within Financial Crimes Compliance and day-to-day management of the Ethics and Anti-Bribery and Corruption. This role requires working closely with other Compliance and Risk partners and groups, business functions, Legal, and Human Resources partners to manage these areas and maintain an overall Conduct Risk Framework. 

Primary Responsibilities:

  • Maintain and enhance governance documents related to the Ethics and Anti-Bribery and Corruption.
  • Operational management of these areas including building, managing, recruiting, and documenting the program and processes for management of the identified programs.
  • Ownership and oversight of the application utilized for management and review of potential conflicts of interest, including outside business activities, gifts and entertainment, and personal account dealing activity. 
  • Review and action requests related to potential conflicts of interest.
  • Keep current with regulatory requirements and guidance in these areas.
  • Develop and complete monitoring plans, risk inventories, and compliance risk assessments for the areas of focus.
  • Collaborate with regional compliance partners to ensure consistency in the execution of the global programs 
  • Establish key metrics and management information to demonstrate effectiveness of the global programs.
  • Ownership, oversight, and enhancement of the centralized repository for governance documents. 
  • Develop and conduct training sessions and modules to increase awareness and understanding around ethics, conflicts of interest and anti-bribery and corruption.

Qualifications:

  • JD preferred
  • In-depth functional / industry knowledge
  • Excellent oral and written communication skills
  • Proven experience involving compliance, auditing and regulatory matters
  • Demonstrated understanding of Conduct Risk, Ethics and Anti-Bribery, policies, practices and legal regulations
  • Proven experience managing and implementing projects that include: identifying, maintaining, and adjusting project scope and resources, formal planning, tracking, and reporting of project performance
  • Strong organizational, analytical and problem-solving skills
  • Experience working in a global organization
  • Ability to work independently on projects with minimal supervision
  • Ability to build and maintain business partnerships and communicate in a collaborative way across functions and teams
  • Ability to maintain a high degree of confidentiality/discretion
  • Strong interpersonal skills

About Northern Trust:

Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service. 

Working with Us:

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:

  • Gender Equality Index Member, Bloomberg
  • Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine

We’d love to learn more about how your interests and experience could be a fit with one of America’s best banks and most sustainable companies! Build your career with us and apply today.

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

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