CAREERS

Analyst, Compliance (Regulatory Change)

📁
Risk Management/Compliance
📅
82552 Requisition #

Summary

 

Under general supervision, provides support for Corporate Compliance Framework 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.

   

Major Duties

 

  • Supports components of the regulatory change framework which may include reviewing internal/external sources for applicable regulatory changes, sending communications, assigning and reviewing assessments, tracking of related activities, and contributing to regulatory inventory.
  • Responds to internal and external inquiries and requests for information to clarify regulatory requirements.  May recommend appropriate procedural changes.
  • Assists in the further development of Compliance programs and may act as a contact point within the company for Compliance inquiries from partners.
  • Identifies and documents Compliance risks and program gaps. Manages escalations and related action plans when risks/gaps are identified
  • Researches and develops analytical reports and solutions for Compliance program issues
  • Participates in training partners and delivering communications on Compliance programs.
  • Coordinates and/or performs activities related to designated Compliance initiatives
  • Carries out Compliance-related activities through direct interaction with committees and management
  • Works on projects, advises on and implements process efficiencies

Knowledge/Skills


  • Familiarity with law and regulation structures, banking and financial industry regulators, and financial industry business.
  • Experience using an array of applications including Excel, database, and reporting applications (automated workflow familiarity a plus) with the ability to continue to improve and refine skills independently.
  • Process efficiency comprehension, collaborative nature, and advanced attention to detail. Analytical and communication skills required to analyze and summarize information
  • Flexibility and organizational skills required to address a variety of tasks and coordinate compliance activities
  • At least 3 years of relevant work experience





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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 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), 1800-425-0333 (India), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

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