CAREERS

Analyst, Compliance Trade Surveillance

📁
Risk Management/Compliance
📅
84822 Requisition #

SUMMARY:

 

Under general supervision (but working independently most of the time) detects potential market abuse and conduct issues thru surveillance of e-communication, audio and trade platforms of Northern Trust. Detects and advises management of potential escalation issues and recommends those issues for further review. Researches and develops solutions for issues being addressed by the team as needed. Assist the team in generating reports, organizing productivity data and metrics analysis.

 

MAJOR DUTIES:                                                        

 

  1. Conduct analyst reviews of trades, e-comms and audio
  2. Perform 1st Level reviews of trades, e-comms and audio potential escalations
  3. Offer suggestions for enhancements to connection points with either program as or if needed.
  4. Assist in creating monthly, quarterly, annual reports and other relevant reports to the surveillance process
  5. Manage and update content Manila Compliance Surveillance SharePoint site.
  6. Maintain high standards of written and verbal communications, ensuring attention to detail in all cases
  7. Completes all assigned tasks using effective time management by setting priorities and consistently meeting deadlines

KNOWLEDGE/SKILLS:

  • Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)
  • Financial Institution Regulatory and Compliance knowledge is a must
  • General knowledge of Global/Regional Financial Institution regulations and bank program implementation activities 
  • Knowledge of Asset Management, Institutional trades, FX, derivatives and equity trade surveillance 
  • Confidence and expertise to advise management and the business
  • Experience providing compliance advisory/consultancy and operational support
  • Ability to use initiative and work unsupervised in a proactive manner
  • Knowledge in MS Office particularly in MS excel, macros, SharePoint, InfoPath and PowerBI is an advantage
  • Ability to deal effectively with different personalities to address competing deadlines
  • Relevant training/certification in relation to Trade Surveillance

EXPERIENCE:

-       A College or University degree and/or relevant proven work experience is required / preferred.

-        2+ years of experience in Surveillance or any compliance related process in a Financial  Institution or equivalent

-       Experience as an SME in offshore banking and financial services team/s

-       Any relevant financial certifications is preferred

 

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Reasonable Accommodation
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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    • APAC/INDIA 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. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

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    • USA EEO STATEMENT

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