About the Role
Northern Trust is a globally recognized financial institution with over 130 years of experience. We provide innovative financial services and guidance to the world's most successful individuals, families, and institutions.
The EMEApliance Testing (ECT) team is responsible for ensuring regulatory compliance across various businesses and regions. The team reports locally to the Regional Manager.
Key Responsibilities
1. Establish appropriate scope and test steps for individual reviews
2. Conduct and document testing reviews to assess compliance with regulations and internal policies
3. Engage withpliance SMEs to understand matters for concern related to applicable reviews
4. Follow established EMEA and Global policies, procedures, and standards for testing activities
5. Apply analytical skills to review information and determine potential weaknesses or exceptions to policies/processes
6. Validate and summarize testing results in clear, concise language
7. Detect and advisepliance and Business Unit management of potentialpliance issues and identify changes/enhancements to improve efficiencies in procedures
8. Track identified issues to closure via periodic follow-up with action owners
9. Validate testing to ensure actions have been adequately closed
10. Develop relationships with Internal Audit to coordinate testing efforts and share results
11. Conduct meetings with business unit partners and management to discuss testing results and where applicable challenge management responses
12. Support the Regional Manager with ad hoc tasks
13. Work effectively as an individual contributor as well as in a team environment
14. Develop strong relationships with the first, second, and third lines of defense