Team Leader, Compliance Surveillance (Mobile Surveillance)
Northern Trust
Manila City, Metro Manila
Permanent
Full-time
1 month ago
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.The key responsibilities of the role include:Supervise the monitoring and reviews trade, audio and electronic communication of partners to assure compliance with applicable regulatory requirements and adherence to internal policiesPerform 2nd Level reviews of trades, e-comms and audio potential escalations identified by analystsAdvises business partners on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their areaConduct recurring Business Unit Services reports on a regular frequencyResearches and develops analytical reports and solutions for issues being addressed by the departmentParticipates in training partners and delivering communications on applicable laws and regulationsCarries out complex activities with significant financial, client, and/or internal business impactMay have direct interaction with committees and/or Senior ManagementOrganizes the work of the team, assigns tasks, sets short-term priorities, monitors all activities and ensures timely and accurate completion of the workConducts performance management and career development processes, and staffing and disciplinary actionsResolves problems, identifies the most appropriate solution and may establish new techniques to ensure the team is able to meet its objectivesHas direct impact, on the quality of the tasks performed or services provided by the teamSkills/Qualifications:Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)Experience related to trade, e-comms and audio monitoringGeneral knowledge of Global/Regional Financial Institution surveillance regulations is required (e.g. FINRA, CTFC, SEC, FED)Knowledge of specific topics such as market abuse, unlawful behavior, such as insider trading, false trading and market manipulation, threatens market integrity, distorts market transparency, false markets Knowledge of Custody, Asset Servicing, FX, Fund Administration, Brokerage businesses as well as corporate governance such as outsourcing and bank secrecy requirements.Confidence and expertise to advise management and the businessExperience providing compliance advisory and operational supportAbility to use initiative and work unsupervised in a proactive mannerStrong leadership skills, a collaborative approach to work, with strong interpersonal skillsAbility to deal effectively with different personalities to address competing deadlinesAttention to detailUnderstands how the assigned duties relate to others in the team and how the team integrates with othersRequires tact and diplomacy to exchange ideas and information with own team and other teams in a concise and logical wayProvides day-to-day supervision to a team including coaching on performance, coordinating activities, checking on quality and work progressThe successful candidate would benefit from having:A College or University degree and/or relevant proven work experience is requiredAt least 5 years work experience doing surveillance, 2 years of which in a management capacity, preferably in any compliance related process in a Financial Institution or equivalentExperience in managing offshore banking and financial services team/sSeries 24, CFA investment foundation or any relevant financial certifications is preferredWorking 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. #MadeForGreaterReasonable accommodationNorthern 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 .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.
