Legal Compliance Senior Supervisor at CuraScript developing compliance programs, conducting audits, and providing regulatory guidance. Ensuring adherence to applicable laws, regulations, and internal policies.
About the role
- Specialist role at Northern Trust ensuring governance and compliance for legal entities across multiple regions including North America, EMEA, and APAC.
Responsibilities
- Administer legal entities across assigned regions in alignment with global policies and jurisdiction-specific regulations.
- Maintain the Legal Entity Framework, including documentation, registration, and record-keeping.
- Implement and monitor governance standards and compliance procedures within the First Line of Defense (1LOD).
- Track and manage legal entity obligations, including regulatory registrations and responsibility mapping.
- Collaborate with Second Line (2LOD) and Third Line (3LOD) teams to support effective compliance and risk oversight.
- Partner with internal stakeholders across NA, EMEA, and APAC to ensure consistent governance execution.
- Align with the Global Regulatory Conduct Office on regulatory standards and reporting requirements.
- Provide management reporting and insights on legal entity governance and compliance.
- Support enterprise-wide initiatives that enhance legal entity administration and regulatory compliance.
Requirements
- At least 10 years of experience in legal entity governance, compliance, or corporate administration within financial services.
- Deep expertise in legal entity governance and regulatory compliance, with the ability to interpret and apply global and jurisdiction-specific requirements.
- Proven success managing entity-level obligations and governance reporting across multiple jurisdictions.
- Strong stakeholder engagement and cross-regional collaboration skills, with experience influencing governance and compliance outcomes across NA, EMEA, and APAC.
- Experience working with regulators, governance committees, and risk oversight functions to support enterprise-wide compliance initiatives.
- Ability to balance global policy alignment with local regulatory obligations, ensuring consistent and compliant execution.
- Advanced analytical and reporting capabilities, including proficiency with governance and compliance tools.
- Highly organized and self-directed, with the ability to manage complex priorities and deliver results under tight deadlines
Benefits
- retirement benefits (401k and pension)
- health and welfare benefits (medical, dental, vision, spending accounts and disability)
- paid time off
- parental and caregiver leave
- life & accident insurance
- other voluntary and well-being benefits
- discretionary bonus program that may include an equity component
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