Specialist, Compliance

About Northern Trust :

Northern Trust, a Fortune 500pany, 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.

Mission :

Report to NTGS SE Chiefpliance Officer and assist him in the identification, control, assessment and reporting of NTGS SEpliance with the regulations applying to NTGS SE other than the ones relating to the financial crime (AML / CTF).

TASK DESCRIPTION

Responsible for :

ü Identifying, controlling, assessing and reportingpliance of NTGS SE with the Luxembourg regulations other than AML / CTF, in particular LSF, Circulars CSSF 12 / 552 as amended, 16 / 644 and 18 / 697 (Depositary and TA duties), 93 / 101 and 95 / 119, Clientplaints, Data Privacy and MiFID II

ü Timely and accuratepletion of thepliance program of NTGS SE within B-Wise and in line with the Globalpliance Framework for the regulations other than AML / CTF; this entailspletion of related :

o Map of Rules,

opliance Risk Assessment (CRA), including answers to Corporatepliance quality check questions,

o CRA actions formalisation and tracking,

o CRA quarterly attestation,

o Issue of the yearly NTGS SEpliance control plan,

o Timelypletion and formalisation of the report of the planned controls (Monitoring reviews), including getting a formal agreement, management action and target date of a business owner on the related eventual findings (whichpletion must be tracked and slippages escalated and included in CCO report).

ü Support preparation of ad hoc reports both internally and externally (Long Form Report) on topics other than AML / CTF

ü Contribute to the review cycle of thepliance policies

ü Maintain a log at NTGS SE, and inform EMEA Regulatory Liaison, of all interactions with the financial supervisory authorities of NTGS SE, including the ones of NTGS SE branches

ü Alert and deliver consultancy style service to NTGS SE partners, including the branches, as well as to otherpliance or business partners across NT group, in regards to the Luxembourg regulation other than AML / CTF. This includes :

o Attendance to relevant business or project steeringmittees, or ad hoc meetings

o Answer specific asks per email or memorandum

o Review and require when necessary enhancements to the e training modules for NTGS SE partners, or provide ad hoc trainings if necessary

ü Control that the 1st Line of Defence has :

o Understood the regulatory requirements

o Taken ownership and set the adequate resources for getting its operational processes and related 1st Line controls adapted to ensure effectivepliance with it

omitted to take corrective actions on eventual gaps and delivers on the action in time

o Taken good note at the executive level of eventual slippages on corrective actions

Qualifications

Education : Bachelor degree, CAMS and / orpliance certification issued by the Luxembourg House of Training would be an asset.

Experience : Numerous years experience.

Languages :

• English : fluent spoken, written - Mandatory;
• French : fluent spoken, written - Mandatory;
• German : notions considered as an asset.
• Knowledge of Custody, Depositary, Transfer Agency, Fund Accounting, Capital Market services and sound bankernance;
• Sound knowledge of the following pieces of legislations and regulations in Luxembourg :

Ø Banking

Ø UCI

Ø Depositary

Ø Data protection

Ø MiFID II / MiFIR

Ø CSDR

Ø SFTR

Ø ESG

IT skills :

Personal skills :

Working 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 apanymitted to assisting themunities 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 sustainablepanies! Build your career with us and apply today. #MadeForGreater

Reasonable amodation

Northern Trust ismitted to working with and providing reasonable amodations to individuals with disabilities. If you need a reasonable amodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs .

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.

Job ID R140884