Job Title:
Compliance Specialist
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About the Role:
We are seeking a highly skilled Compliance Specialist to join our team. In this role, you will be responsible for planning and executing testing reviews to assess compliance with regulations and internal policies.
Key Responsibilities:
* Establish appropriate scope and test steps for individual reviews
* Conduct and document testing reviews to assess compliance with regulations/legislation and internal policies
* Engage with Compliance SMEs to understand any matters for concern related to applicable reviews
* Follow established EMEA and Global policies, procedures and standards for testing activities
* Apply analytical skills to review information and determine potential weaknesses or exceptions to policies / processes
* Validate and summarise testing results in clear, concise language
* Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures
* Track identified issues to closure via periodic follow up with action owners
* Validation testing to ensure actions have been adequately closed
* Develop relationships with Internal Audit to coordinate testing efforts and share results
* Conduct meetings with business unit partners and management to discuss testing results and where applicable challenge management responses
* Support the Regional Manager with ad hoc tasks
* Work effectively as an individual contributor as well as in a team environment
* Develop strong relationships with the first, second and third lines of defence
Requirements:
* Proven experience related to compliance, compliance testing/monitoring or auditing
* Knowledge of Guernsey and/or EU regulations and key regulatory developments would be an advantage
* Highly motivated individual who has a proven record of using initiative to resolve problems
* Analytical ability to identify and understand problems as well as to provide effective solutions
* Excellent written and oral communication skills
* Confidence and expertise to advise and challenge senior management and the business
* Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
* Ability to deal effectively with multiple competing deadlines
Benefits:
As a Northern Trust partner, 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.
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