Analyst, Compliance Surveillance

The Compliance Surveillance Analyst provides support for Corporate Compliance programs, including researching risks, identifying issues, reporting, training, and other duties, as assigned. Detects and advises management of potential Compliance issues and recommends procedural changes.

Other responsibilities include:

1. Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies.
2. Advises business partners on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.
3. Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes.
4. Assists in the development of Compliance programs and may act as a contact point within the company for Compliance inquiries from partners.
5. Identifies and documents any Compliance risks associated with the Company's activities.
6. Researches and develops analytical reports and solutions for issues being addressed by the department.
7. Participates in training partners and delivering communications on applicable laws and regulations.
8. Coordinates and/or performs activities related to designated Compliance initiatives.
9. Carries out Compliance-related activities through direct interaction with committees and management.
10. Monitors internal procedures and files relating to laws, regulations, rules and standards; and ensures they are accessible to business partners and management.
11. Works on projects and learning project management skills.

Qualifications

• 3-5 years of related experience
• Knowledge of applicable laws and regulations, usually acquired through formal education or experience, is preferred to review Compliance policies and procedures in order to ensure their adequacy and to monitor compliance.
• Analytical and communication skills required to analyze and summarize information.
• Organizational skills required to coordinate compliance activities.

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.

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.

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities.

If, because of a medical condition or disability, you need reasonable accommodation for any part of the employment process, please email us at APAC_Talent_Acquisition_Communications@ntrs.com

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