senior analyst, Compliance surveillanceNorthern Trust

About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families and institutions by remaining true to our enduring principles of service, expertise and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
SUMMARY:
Act as a Subject Matter Expert by interpreting policies and procedures to respond to inquiries and requests for information. Connect with internal stakeholders on relevant issues as delegated by the team leader. Assist the team leader in monthly quality audit of the team's completed e-comms and trade reviews. Main point of contact in managing data, reports and repositories of Manila teams surveillance activities. Uses specific knowledge of Surveillance to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience. Uses expertise to provide guidance to others as a project manager or consultant. Requires working knowledge and experience in own job discipline. Continues to build knowledge of the company, processes and clients. Performs a range of assignments related to job discipline. Uses prescribed guidelines or policies in analyzing situations. Receives a moderate level of guidance and direction.
MAJOR DUTIES:
Conducts internal quality audits for analyst reviews of trades, e-comms and audio
Performs 2nd Level reviews of trades, e-comms and audio potential escalations identified by analysts
Offers suggestions for enhancements to connection points with either program as or if needed
Creates monthly, quarterly, annual reports and other relevant reports to Surveillance process
Facilitates training and onboarding new surveillance analysts
Manages and updates content Manila Compliance Surveillance SharePoint site.
Maintains high standards of written and verbal communications, ensuring attention to detail in all cases
Completes all assigned tasks using effective time management by setting priorities and consistently meeting deadlines
Solves problems in straightforward situations
Analyzes possible solutions using technical experience and judgment and precedents•Impacts quality of own work and the work of others on the team
Works within guidelines and policies
KNOWLEDGE/SKILLS:
Requires ability to communicate in a clear, concise and effective manner (verbal and written)
Requires knowledge in Financial Institution Regulatory and Compliance
Requires general knowledge of Global/Regional Financial Institution regulations and bank program implementation activities
Requires knowledge of Asset Management, Institutional trades, FX, derivatives, securities lending, transition management and brokerage trade surveillance
Displays confidence and expertise to advise management and the business
Applies earned experience providing compliance advisory/consultancy and operational support
Requires proactivity and minimal supervision
Displays strong leadership skills, a collaborative approach to work, with strong interpersonal skills
Deals effectively with different personalities to address competing deadlines
Requires attention to detail
Requires expanded conceptual knowledge in own job discipline•Understands key business drivers; uses this understanding to accomplish own work
Explains complex information to others in straightforward situations
EXPERIENCE REQUIRED:
Provides informal guidance to new team members
A College or University degree and/or relevant proven work experience is required / preferred
At least 3 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
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of 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! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at .
We hope you're excited about the role and the opportunity to work with us.
We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Additional Information
Northern Trust

Manila City, Metro Manila
Permanent
Full-time