Sr. Compliance Manager

Senior Compliance Manager – Compliance Framework

The Senior Compliance Manager is a key leader in the Global Compliance organization. Responsibilities include managing the activities and direction of a team of compliance professionals to promote consistency and sustainability of Northern Trust’s identification, assessment, assurance and reporting of compliance risk. This includes the identification and analysis of regulatory impacts globally and the development and integration of enterprise compliance programs across business units and regions. The role also oversees the Regulatory Liaison Office and certain Entity Compliance Officer and Compliance Practices. Finally, the role provides ongoing counsel to the Chief Compliance & Ethics Officer regarding the execution of the Compliance function. 

Major Duties

1. Direct and oversee the development and execution of global standards for the Compliance function.
2. Lead the execution of the Global Regulatory Developments Program, covering the identification, analysis, implementation, and integration of significant regulatory developments.
3. Provide oversight and guidance to the Regulatory Liaison Office which sets enterprise standards for regulatory relationship management and advises partners on regulatory engagement.
4. Direct and oversee the Enterprise Compliance Risk Assessment, Regulatory Assurance and Compliance Monitoring programs, including the establishment of standards, the analysis of results and provision of remediation advice.
5. Oversee the reporting of Enterprise Compliance Risk and provide ongoing benchmarking and counsel to the Chief Compliance & Ethics Officer on the execution of the Enterprise Compliance function. 
6. Serve as Chair of the Global Compliance Committee, leading the discussion and review of the Enterprise Compliance function
7. Serve as Chair of the North America Regulatory Advisory Council, overseeing the discussion and analysis of regulatory changes emanating from the region.
8. Serve as a member of Legal Entity Oversight Committee, representing the Compliance function to participate in governance, oversight, and as necessary, escalation of compliance matters.
9. Manage and develop team members

Knowledge/Skills

• Significant experience in relevant Audit, Compliance, Legal or Risk role
• In depth knowledge of general banking regulations acquired through formal education and work experience is required. 
• Knowledge of risk management and strategic goals for the bank's business.
• Communication and analytical skills are necessary to consult with partners/clients, and analyze information and apply regulations. 
• Leadership and organizational skills are needed to prioritize assignments and provide feedback to staff. 
• Regulatory management experience preferred.

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.