Consultant, APAC Compliance Testing

6 days ago

Manila, National Capital Region, Philippines Northern Trust Full time

Job Summary: We are seeking a skilled professional to lead the execution of our testing program, ensuring compliance with regulations and internal policies.

Northern Trust, a globally recognized financial institution, has been in continuous operation since 1889. We provide innovative financial services and guidance to the world's most successful individuals, families, and institutions, remaining true to our enduring principles of service, expertise, and integrity.

The successful candidate will be responsible for independently planning and executing specific reviews, identifying issues and underlying root-cause analysis, agreeing solutions and communicating findings effectively, both orally and in writing.

Key Responsibilities:

  • 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 SME's to understand any matters for concern related to applicable reviews
  • Follow established 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
  • Tracking of identified issues to closure via periodic follow up with action owners
  • Validation 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 Head with ad hoc tasks
  • Work effectively as an individual contributor as well as in a team environment
  • Develop strong relationships with the first, second, and third lines of defence

Requirements:

  • 5-7 years of experience related to compliance, compliance testing/monitoring, or auditing
  • Educated to graduate (or equivalent)
  • Knowledge of APAC regulations and key regulatory developments would be an advantage
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Analytical ability to identify and understand problems as well as to 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 on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
  • Ability to deal effectively with multiple competing deadlines

About Working with Us:

We are a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve.

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