Regulatory Compliance Specialist

2 days ago

Manila, National Capital Region, Philippines Northern Trust Full time

About Northern Trust:

We are a globally recognized, award-winning financial institution with over 130 years of experience in providing innovative financial services and guidance to the world's most successful individuals, families, and institutions.

Our enduring principles of service, expertise, and integrity have earned us a reputation as a trusted partner in the financial industry. With a presence in EMEA, we serve clients across various sectors using leading technology and exceptional service.

Job Overview

The Regulatory Compliance Specialist will be part of our Global Compliance Assurance Framework, reporting directly to the EMEA Compliance Testing Regional Manager. The team is responsible for conducting risk-based testing and reviews to determine regulatory compliance, focusing on key areas such as regulations, laws, and internal policies.

This role involves working closely with senior management, business units, and Compliance SMEs to plan and execute specific reviews, identify issues, and develop effective solutions. You will be responsible for executing the testing program independently, planning test steps, conducting reviews, documenting findings, and communicating results effectively.

Key Responsibilities:

  • Develop and implement comprehensive testing plans to assess compliance with regulations and internal policies
  • Conduct thorough reviews of business processes and procedures to identify potential weaknesses or exceptions
  • Analyze data and information to validate testing results and provide recommendations for improvement
  • Maintain strong relationships with business partners, Compliance SMEs, and Internal Audit teams to ensure seamless coordination and collaboration
  • Communicate findings and results to senior management and stakeholders through clear, concise reports and presentations
  • Stay up-to-date with key regulatory developments, changes, and updates to ensure compliance with evolving requirements

Requirements and Qualifications:

  • Proven experience in regulatory compliance, testing, or auditing within the financial services sector
  • Educated to graduate level (or equivalent) with a strong understanding of EU regulations and key regulatory developments
  • Highly motivated individual with excellent analytical, communication, and problem-solving skills
  • Able to work effectively in a team environment and build strong relationships with stakeholders

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