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.

About the Role/ Department:

The Surveillance Governance Lead will report to the Global Head of Surveillance and will be responsible for overseeing processes and procedures that span across all Surveillance related activities. This position will require in depth knowledge of Surveillance processes as well as strategic thinking and stakeholder management.

The role requires strong global coordination and collaboration, and the successful candidate will work very closely with Business Heads as well as with COOs, Business Control Managers and partner functions (e.g., Compliance, Risk, Operations, Technology, and Legal).

The Key Responsibilities of the Role Include:

Drive key Governance processes like the Market Abuse Risk Assessment.Ensure an effective governance framework for the Surveillance function including policies, standards and controls for market abuse detectionManage the controls inventory and ensure that Surveillance controls are properly reflected in the internal risk management systemOwn and manage the taxonomy of risk behaviours for market abuse, conduct, and non-financial risks. Ensure that all department documentation meets internal standards and is properly updated, stored and circulatedIdentify opportunities for process improvements and ensure that governance processes strengthen the control environment while allowing for efficient execution of all activitiesLead multiple governance forumsEngage and influence business heads, regulators, control management, risk, legal, and audit partners to successfully ensure appropriate management of business riskInfluence the allocation of people to ensure commitments are met and align with strategic objectives within the business groupDesign and implement global consistency across the Surveillance framework alignment in governance, standards and risk monitoring.Leadership, integrity, and credibility will be determining factors in selection. Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and with regard to their accomplishments. The role requires a sense of urgency, passion for results, and personal accountability for achievement.

 

Skills/ Experience Required:

Bachelors Degree or equivalent experienceSeveral years’ work experience, within a bank, regulator, or similar financial institution.Strong expertise in EU/UK market abuse surveillance and regional regulatory frameworks, including EU/UK MAR, MiFID II and APAC-specific rules.Proven experience in Quality Assurance and risk management.Exceptional communication skills with the ability to manage diverse stakeholders across regions.Strong understanding of Market Conduct behaviours and surveillance programs to detect market misconduct. Ability to analyze trading activity and market events, as well as the data that feeds into surveillance systems.  Microsoft Suite of products + technical experience with Excel macros, VBA,Python, SQL or equivalent. 

Desired Qualifications:

Experience in leading governance and senior risk committee for potential disciplinary or conduct issues.Prior experience at Market Oversight including any regulatory or government agencies.Prior experience in process improvement, automation of control processes.Understanding of Global Custodian Banking business operations, processes, products and customer interactions and associated risk manifestation.Working knowledge of Market Abuse Risk Management Framework concepts and policies.Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner.Professionalism, adaptability and strong collaboration skills.Ability to pro-actively resolve conflict and maintain objectivity.Demonstrated capacity to pro-actively and independently analyse and solve problems and address risks.

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 MyHRHelp@ntrs.com.

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.