CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The key responsibilities for this role include: Regulatory Affairs
Act as a primary point of contact in the UK for Regulatory relations;
Plan and manage the coordination of regulatory reviews and meetings inclusive of overseeing and signing off on the surrounding administration;
Oversee the documentation and coordination of information pertaining to regulatory visits and responses to regulatory enquiries inclusive of conducting sanity checks before sending;
Provide and deliver prep session material to Senior Management ahead of meetings with the Regulators;
Act as a note taker in Regulatory meetings as the need presents itself;
Oversee the record keeping of Mainland EMEA regulatory correspondence ensuring the local SMF16 is appropriately updated;
Oversee the management of the teams central mailbox and respond to/facilitate the response to any outstanding queries on a daily basis paying particular attention to responding to regulators;
Highlight key regulatory interaction and work with EMEA partners in creating a weekly regulatory round-up for key stakeholders;
Administer and advise on submissions of regulatory Permissions including
Variations of Permissions to regulators;
Maintain a consolidated list of all EMEA license permissions and be the point of contact for queries from the business;
Track all entity waiver and modifications and notify relevant owner and/or renew these when due;
Maintain a complete regulatory reporting inventory for the UK & Mainland EMEA region;
Make all regulatory returns that fall into the SMF16's remit in a timely fashion and track the submission of those that fall outside this remit;
Produce and oversee the production of the compliance monthly report and present key findings at the SMF 16's directs meeting;
Ensure reporting is consistent month on month addressing and anomalies as their arise;
Oversee the tracking of Audit and Global Compliance testing points owned by compliance partners;
Track all open regulatory breaches on the breaches register for the TNTCLB, NTGS SE (inc. branches), TNTCoSA and NTS LLP entities and report accordingly;
Ensure that payment for all regulatory fees is paid on time
Compliance Risk Assessment/Rule Mapping
Assist the Head of Compliance Infrastructure with the maintenance of the UK & Mainland Rule Mapping and Compliance Risk Assessment and be the SME for SYSC, PRIN, FEEs and SUP; Complaints
Collate on a quarterly basis, all complaints within EMEA by reaching out to the relevant business units and input into a complaints register in order to analyze and create a trend analysis to the Regulated Entity Compliance Officers;
Update and Maintain the complaints register;
Support the maintenance of policies and standards for the UK & EMEA region which are owned by the infrastructure team inclusive of performing quality checks of the content;
Update and develop the team SharePoint site as required;
Be the point of contact for all EMEA LEI's and renew those for UK entities. Work with Corporate Compliance on maintaining a list of global LEI's and review and implement changes in LEI regulation;
Review and provide feedback to RFP requests and maintain the control sheet to ensure messaging is in alignment with compliance protocol;
Review all marketing material/financial promotions against the regulatory rules and ensure sign-off is fair, clear and not misleading; The successful candidate will benefit from having:
Knowledge of the regulatory environment and Relationship Management experience advantageous;
Ability to analyse and interpret large volumes of data;
Excellent communication skills (both written and verbal) with the ability to liaise with all levels of individuals;
Proven IT skills. Strong working knowledge of Word, Excel & Sharepoint, knowledge of Access and Powerpoint desirable;
Strong numeric skills
Excellent organisation skills, with the ability to deal effectively with multiple competing deadlines;
Ability to persuade and influence at all levels;
Ability to use initiative and work unsupervised in a proactive manner;
Collaborative and flexible approach to work
About Northern Trust: Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Working with Us: As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve! We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
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 ethical companies. Build your career with us and apply today.
Internal Number: 6551624
About Northern Trust
eFinancialCareers is a career site specializing in financial services.