Manager, Compliance overseeing federal clients' FOIA compliance and federal contracting adherence. Leading strategic guidance and compliance operations with a focus on effective audits and training.
About the role
- Regulatory expert in Capital Markets for Northern Trust, overseeing compliance with global regulations and providing guidance on risk management and policy development.
Responsibilities
- Stay ahead of regulatory developments across major markets (US, UK, EU, AUS, Singapore) and interpret complex requirements from bodies such as CFTC, NFA, ESMA, FCA, MAS, and ASIC
- Evaluate how new and evolving regulations affect Capital Markets products and services, and provide actionable guidance to business leaders
- Establish and maintain robust policies, procedures, and governance frameworks to ensure compliance with global regulatory standards
- Partner with Compliance, Legal, Risk, and business units to embed regulatory requirements into operational processes and controls
- Influence Capital Markets strategy and operating model to align with regulatory expectations and industry best practices
- Identify high-risk situations, advise on mitigation strategies, and ensure timely escalation of regulatory issues
- Lead initiatives related to horizon scanning, impact assessments, regulatory reporting, and governance enhancements
- Communicate regulatory impacts effectively to internal and external stakeholders, fostering a culture of compliance and risk awareness
- Support ad hoc projects and provide leadership coverage for the regulatory change team when needed
Requirements
- Typically requires 7–10 years in regulatory change, compliance, or risk management within a regulated financial services firm
- Deep understanding of global regulatory frameworks, including MIFID, EMIR, FSMA, and prudential risk management standards
- Ability to assess regulatory risks, interpret complex rules, and develop practical compliance solutions
- Strong interpersonal skills to consult with stakeholders at all levels and articulate regulatory requirements clearly
- Comfortable working independently and collaboratively in a dynamic environment, with a focus on continuous improvement and innovation
- Familiarity with horizon scanning, impact assessments, and governance frameworks to anticipate and manage regulatory change effectively
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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