Investment Compliance Consultant Investment Compliance Consultant …

Northern Trust
in London, United Kingdom
Permanent, Full time
Last application, 19 Sep 20
Competitive
Northern Trust
in London, United Kingdom
Permanent, Full time
Last application, 19 Sep 20
Competitive
Northern Trust
Investment Compliance Consultant
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.
As a Northern Trust employee (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.
Role/ Department:
The role is to support the production of the regular compliance reporting outputs and to support the Compliance needs of the clients who take this service from NT.
The key responsibilities of the role include:
This position is responsible for working with the Compliance Analyst system and to help clients monitor their investment manager's investment guidelines. Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners. Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations.
The incumbent of the role will expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the NT product team to articulate requirements pertinent to NT's ability to provide compliance services
The successful candidate will benefit from having:
  • Act as subject matter expert for NT's Compliance Product offering.
  • Investigate daily breach monitoring.
  • Answer client queries.
  • Create guideline reviews.
  • Attend client meetings.
  • Ensure rule set-up in system for new mandate implementations.
  • Produce monthly reports.
  • Data inputs into Compliance system to enable monitoring where required.
  • Provide custom client solution support.
  • Engage new client implementations.
  • Provide oversight of off shore team, as well as mentoring and supporting their development to help assist London Client Service team.
  • Work and support new system implementation initiative as and when required.
  • Provide new business/sales process support.
Skills / Experience:
  • Excellent verbal and written communication skills.
  • Extremely detail oriented with strong planning and organizational skills.
  • Familiarity with investment manager guidelines and language used in investment manager agreements.
  • Knowledge of financial markets.
  • Knowledge of fixed income and equity asset classes would be advantageous.
  • Interest in researching topics, such as substantial shareholder limits and other topics related to our clients' investment requirements for their global investments.
  • Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus.
  • Solid working knowledge of Excel.
  • Experience with Bloomberg, Moody's, S&P, and Fitch a plus.
  • Knowledge of and interest in writing Excel macros and creating custom reports using VBA, and/or Business Objects, is a plus.
  • Strong team player.

Working with Us:
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. In return, we will support you with your personal and career goals in a number of ways:
Financial - Life Assurance, Disability Plan, Pension/ Gratuity, Annual Pay Review
Work Life Balance - Flexible Work Options, Incremental Annual Leave, Community Volunteer Days
Health & Wellbeing - Private Medical Insurance, Active Sports & Social clubs (lunchtime and after-work groups), Employee Assistance Program
Professional Development - Clear Career Path, Education Assistance, Recognition Programme, NT University (wide range of online, virtual & in-house training options) and employee-led Business Resource Councils dedicated to diversity and inclusion initiatives.

And Finally
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.

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