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Who we are For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise, and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally. We serve the world's most-sophisticated clients - from sovereign wealth funds and the wealthiest individuals and families to the most-successful hedge funds and corporate brands.
Northern Trust's international business has grown dramatically over the last decade. Some of our largest clients are located in Asia and Australia, which represents a rapidly growing client base for the company. Since 1986, we have been serving clients in Asia-Pacific (APAC), including corporate pension funds, investment managers, insurance companies, government agencies, family offices and corporations. Our intricate understanding of the region allows us to provide unique insights and strategic perspectives to our clients. Currently, we have client offices in Beijing, Hong Kong, Melbourne, Singapore, Seoul, Tokyo and Kuala Lumpur.
What we do We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
What you will do You will work within a regional Risk/Compliance team operating in a successful international Asset Management business, reporting to the Head of APAC Risk. The role offers excellent exposure to someone looking to develop their career in an asset management based risk and compliance role. You will provide technical research and consultation to support compliance programs and activities in all of Northern's international units but with particular focus on APAC and within a global framework. Acting as a partner to both risk/compliance team members and managers and staff in the business units, you will provide consultation and advice on regulatory matters and manage the portfolio compliance activity
Providing technical research and consultation to support risk and compliance programs and initiatives
Being familiar with Northern's strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
Review of marketing materials to support cross-border sales activity to support sales and relationship management team.
Support regulatory inquiries and examinations
Assist in the development and maintenance of risk and compliance frameworks and related policies and procedures
Assist in implementation of training programs with subject matter experts, and Corporate Compliance.
Provide daily oversight over the portfolio compliance activity for APAC accounts
Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department's activities.
Provide back up support to the wider risk and compliance team as and when required.
Assist in reporting to various governance committees
Experience in advising and/or monitoring of asset management business
Working knowledge of International regulations e.g. MiFID II, UCITS, SEC, APAC regulators.
Working knowledge of cross-border marketing rules
Strong background in and understanding of investment management products and services
Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards
Analytical ability to identify and understand problems and provide effective solutions
Highly motivated individual who has a proven record of using initiative to resolve problems
Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
Excellent verbal and written communication skills
Desire to stay in front of new business/regulatory developments
Excellent organizational and analytical skills.
The competencies that would be valuable for this role include:
Excellent communication, written and verbal
Client focused relationships
Decision making/judgement and analytical skills
Persuading, influencing and problem solving
Ability to make decisions on your own whilst also being a team player to ensure issues are appropriately resolved
As of March 31, 2019, Northern Trust Corporation had:
$10.9 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$122 billion in banking assets
Northern Trust is an equal opportunity employer. We aim for excellence in our efforts to recruit, develop and deploy the highest caliber workforce. Our commitment and success to a diverse workforce is evident in employee satisfaction and industry acknowledgment. For a list of all our achievements please click here .
For a private discussion please contact Gez Williams on +61 3 9935 8204.
Internal Number: 5877894
About Northern Trust Company
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