Consultant, EMEA Compliance Testing

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world's most successful individuals, families, corporations and institutions. Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity.

Role/Department

EMEA Compliance Testing (ECT) is a functional team within Northern Trust's Global Compliance Assurance Framework. The team reports to the EMEA Compliance Testing Regional Manager. ECT testing consists of risk based, point in time assessments to determine regulatory compliance, ranging from focused reviews of specific regulatory requirements to enterprise wide reviews.

Key Responsibilities

• Independently establish the appropriate scope and test steps for individual reviews.
• Conduct and document testing reviews to assess compliance with and adherence to regulations/legislation and internal policies.
• Engage with Compliance SMEs to understand matters of concern related to applicable reviews.
• Follow established EMEA and Global policies, procedures and standards for testing activities.
• Apply analytical skills to review information and determine potential weaknesses or exceptions to policies/processes.
• Validate and summarise testing results in clear, concise language.
• Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures.
• Track identified issues to closure via periodic follow up with action owners and validate testing to ensure actions have been adequately closed.
• Develop relationships with Internal Audit to coordinate testing efforts and share results.
• Conduct meetings with business unit partners and management to discuss testing results and, where applicable, challenge management responses.
• Support the Regional Manager with ad hoc tasks.
• Work effectively as both an individual contributor and a team member, building strong relationships with the first, second and third lines of defence.

Skills / Qualifications

• Proven experience related to compliance, compliance testing/monitoring or auditing.
• Knowledge of EU regulations and key regulatory developments is an advantage.
• Highly motivated individual with a proven record of using initiative to resolve problems.
• Analytical ability to identify and understand problems and provide effective solutions.
• Excellent written and oral communication skills.
• Attention to detail.
• Confidence and expertise to advise and challenge senior management and the business.
• Ability to make decisions independently and to work as part of a team.
• Ability to manage multiple competing deadlines.

Work Authorization

Applicants must have the right to work in Ireland at the time of application and for the duration of employment. Northern Trust is unable to provide employment permit sponsorship for this role.

EEO Statement

EMEA EEO STATEMENT: It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non discriminatory manner in accordance with our obligations under the law and codes of practice.

California Applicant Privacy Notice Pay Transparency Nondiscrimination Provision (U.S) Transparency in Coverage Disclosure - North America 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 a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1- (North America), - (Asia Pacific), (India), (0) (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Canada EEO STATEMENT Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial or local law, regulation or ordinance.

USA EEO STATEMENT It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status.