Compliance Governance Specialist

4 days ago

Manila, National Capital Region, Philippines ACCA Careers Full time

About Us:

At Northern Trust, a globally recognized financial institution with over 130 years of experience, we provide innovative financial services and guidance to the world's most successful individuals, families, and institutions. Our enduring principles of service, expertise, and integrity have allowed us to remain true to our values while continuously adapting to the ever-changing financial landscape.

The Global Regulatory Affairs Office (GRAO) plays a crucial role in overseeing risk management and controls, remediation of regulatory and audit findings, and administration of regulatory affairs. This position sits within GRAO and is responsible for providing project management and subject matter expertise across a multi-year regulatory and risk program.

This Compliance Governance & Policy Consultant role will support the delivery of critical strategic enterprise capabilities for compliance and legal risk governance, policies, and standards that connect into Northern Trust's rule and obligation applicability, Rule Inventory, and Risk Inventory.

The ideal candidate will have a track record of project management, compliance, and risk knowledge, as well as experience working with diverse, cross-functional teams and stakeholders across the organization.

Key Responsibilities:

  1. Support the definition and execution of Governance and Policy workstreams for compliance and legal risk.
  2. Develop and maintain governance oversight of issues of non-compliance, including escalation to the Global Enterprise Risk Committee, by working closely with Risk, Compliance, Legal, and First Line of Defense subject matter experts and delegated governance fora.
  3. Collaborate with Risk, Compliance, and Legal subject matter experts to develop and maintain policies, standards, guidelines, etc., that can be operationalized by the First Line of Defense to develop controls efficiently achieving risk management goals and policy objectives.
  4. Lead Working Group meetings to transform and maintain efficient governance enabling successful outcomes.
  5. Assist in developing, designing, implementing, and supporting compliance and legal risk management frameworks, including risk governance and controls, organization structure, policies, procedures, three lines of defense, risk measures and metrics, risk appetite and limits, monitoring, and escalation.
  6. Manage deliverables proactively anticipating potential issues, preventing them, or working with management to define pragmatic contingency plans.
  7. Proactively manage dependencies, 'reusable assets,' roadblocks, and learning points, defining milestones to resolve uncertainty.
  8. Timely escalate and pursue resolution of roadblocks with clear end-to-end ownership.
  9. Help shape best practices, standards, and toolkits to strengthen capabilities around compliance and legal risk.

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