Senior Compliance Consultant

3 days ago

Riyadh, Saudi Arabia Northern Trust Corp. Full time

About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

As a Northern Trust employee (Partner), you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve.

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you would benefit from adjustments for any part of the employment process, please inform the recruiter to discuss your individual requirements.

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.

Role/ Department:
Northern Trust has an established Saudi Compliance function; part of a wider EMEA Compliance framework; with Saudi partners based in Riyadh office. Clear goals, open communication, promoting collaborative working, empowering team members and an enjoyable working environment are features of how we try to operate as a team.

The team uses a structured and risk based Compliance Programme, to provide assurance to Senior Management of the Saudi licenses to conduct securities business within the Kingdom; and compliance with their regulatory obligations.
- Acting as a “Trusted Adviser”, embedding compliance into day-to-day activities and keeping compliance foremost in everything that we do.
- Provision of a “consultancy” type compliance service, offering pro-active advice, interpretation and clarification on regulatory issues and formal training to all levels of Northern Trust staff.
- Participate in the Compliance Assurance Programme by ensuring that compliance monitoring and testing is undertaken, as required completed successfully by the team, advising management of potential compliance problems and recommending procedural changes.

This role is based in Riyadh and will report to the Chief Compliance Officer & MLRO of Northern Trust Company of Saudi Arabia. The person will work closely with all members of the EMEA Compliance team and TNTCoSA Senior Management, as well as regional/global compliance team members.

The key responsibilities of the role include:
Compliance Advice
- For assigned business units, covering and providing compliance challenge, advice and support on key developments; including regulatory development & engagement, business developments and emerging issues; for both legal entities, Saudi Arabia and Abu Dhabi.
- Lead others with less experience or knowledge of specific compliance topics to drive and sustain a culture of compliance.
- Review, interpret and disseminate of current and proposed laws and regulations for assigned Subject Matter Expert compliance areas.
- Develop creative ways for embedding compliance into key operational processes, in a way that allows partners to clearly understand their compliance duties.
- Identify situations to strengthen the management of compliance risk, including those outside of their assigned SME areas, and recommend plans to address these to Team Leader Compliance and Head of Compliance.

Compliance Monitoring
- Undertake assigned monitoring reviews / compliance risk assessments in line with the Compliance Assurance Programme, and inform the business of the risks identified as well as challenge the adequacy of the relevant controls.
- Monitor and assess the adequacy and effectiveness of the measures, controls and procedures put in place by business units to address NT’s compliance with its regulatory obligations.
- Produce timely, accurate, concise and high-quality reports.

Other
- Management and co-ordination of the Regulatory Change process within the Compliance team.
- Take responsibility to complete/perform other tasks contained within the overall Compliance Programme, as required and deputise for/represent Team Leader Compliance at various forums, where required.
- Coordinate appropriate reporting at various governance committees, including the firms’ Board; Compliance and Risk Committee.
- Develop a clear understanding of the Northern Trust Compliance System and ensure the system is used effectively.
- Attend relevant business; compliance and regulator meetings; in addition to prep session material to Senior Management ahead of meetings with the Regulators and act as a note taker in Regulatory meetings as required.

Skills/ Qualifications:

- CME 1 & 2 Qualified.
- Highly motivated individual who wishes to develop their skills within a progressive compliance role in a financial services environment.
- Compliance

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