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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. Role/Department The Global Regulatory Affairs Office (GRAO) is responsible for overseeing the enhancement of our risk management and controls, remediation of regulatory and audit findings and the administration of regulatory affairs. This Compliance Governance &amp; Policy Manager role sits within the GRAO with primary responsibility for providing leadership and subject matter expertise across a multi-year regulatory and risk program. This role will report into the Program Sponsor for compliance and legal risk. The Compliance Governance &amp; Policy Manager will lead key pillars of the Program, which involves delivery of critical strategic enterprise capabilities for compliance and legal risk governance, policies, and standards, which connect into Northern Trusts rule and obligation applicability, Rule Inventory and Risk Inventory. The ideal candidate will have a track record of leading complex projects and transformation, with deep compliance and risk knowledge and working with diverse, cross-functional teams and stakeholders across the organization. The key responsibilities of the role include: <ul><li>Responsible for supporting the definition and leading the execution for the Governance and Policy workstreams for compliance and legal risk as a named Program Lead, within the Program.</li><li>Over time managing a small global team who will enable execution of the new frameworks.</li><li>Support Second Line of Defense (2LOD) compliance and legal risk management to develop and maintain governance oversight of issues of non-compliance, including escalation to the Global Enterprise Risk Committee. This will include working closely with Risk, Compliance, Legal and the First Line of Defense (1LOD) subject matter experts and delegated / connected governance fora.</li><li>Work with Risk, Compliance and Legal subject matter experts to develop and maintain policies, standards, guidelines etc that can then be operationalised by 1LOD to develop controls to efficiently achieve risk management goals and policy objectives.</li><li>Lead Working Group meetings to support transformation of and maintains efficient and appropriate governance to enable successful outcomes.</li><li>Assist in developing, design, implementation, and support compliance and legal risk management framework, including but not limited to: Risk governance and controls, organization structure, policies, and procedures, three lines of defense, risk measures and metrics (risk appetite and limits, monitoring and escalation)</li><li>Manage the pillars and deliverables with a forward-looking mindset, i.e., proactively anticipate any potential issues, prevent them and/or define pragmatic contingency plans.</li><li>Maintain familiarization and technical expertise across the firm including regulatory change, organizational structure, personnel, activities and products, new product development, financial performance and risk and problem areas.</li><li>Develop and control deadlines and activities pertaining to the supported pillars.</li><li>Proactively manage dependencies, 'reusable assets' (components of the solution that have been already built elsewhere), roadblocks and learning points (i.e., milestones defined to resolve any uncertainty that the team might be dealing with).</li><li>Timely escalate and relentlessly pursue resolution of any roadblocks with a clear, end-to-end ownership mindset.</li><li>Help shape best practices, standards and toolkit and strengthen our capabilities around compliance and legal risk.</li></ul>Skills / Experience The succcesful candidate will benefit from having: <ul><li>Deep understanding of regulatory, compliance and risk related matters.</li><li>Demonstrated experience in governance and policy transformation or remediation strategy</li><li>Proven leadership skills and able to build a high-performing team with remote management.</li><li>Knowledge of the financial services industry, especially asset servicing, wealth management and banking, and the regulatory environment in which they operate including regulatory themes emerging within industry.</li></ul><ul><li>Great skills across communication (written and verbal), facilitation, interpersonal, conflict resolution, team building, coaching members on practices, framework, ability to teach/train etc.</li><li>Ability to establish trust-based relationships with stakeholders across enterprise, lead them towards common objectives and managing upwards and downwards (e.g., experience with acting as a constructive conduit between business and non-business teams).</li><li>Strong problem-solving skills, organizational skills and time management skills.</li><li>Proficiency in Microsoft Word, Excel, and PowerPoint and Governance, Risk &amp; Compliance solutions such as Service Now</li></ul>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 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. #MadeForGreater Reasonable accommodation Northern 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 <a href="mailto:MyHRHelp@ntrs.com" target="_blank">MyHRHelp@ntrs.com</a>. 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.

Compliance Governance & Policy Manager

Ideas | People | Trust We're BDO. An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today's changing world. We work with the companies that are Britain's economic engine - ambitious, entrepreneurially-spirited and high-growth businesses that fuel the economy - and directly advise the owners and management teams that lead them. We'll broaden your horizons Our Advisory team provide a wide variety of services that deliver value-led advice and outcomes. They have an in-depth knowledge of business, industry sectors and markets and understand the constantly changing risks and opportunities at the heart of affairs. The team work across strategy, operations and improvement as well as at a transactional and defined project level. From technology to risk advisory, they're experts in following through on top-level instructions and resolving the finer details - all in one straight-forward package. When you join them, you'll work on some of the world's most exciting financial operations and business deals, building your experience and expertise alongside the brightest minds in the industry We'll help you succeed Leading organisations trust us because of the quality of our advice. That quality grows from a thorough understanding of their business, and that understanding comes from working closely with them and building long-lasting relationships. You'll be someone who is both comfortable working proactively and managing your own tasks, as well as confident collaborating with others and communicating regularly with senior managers, directors, and BDO's partners to help businesses effectively. You'll be encouraged to identify and draw attention to opportunities for enhancing our delivery and providing additional services to organisations we work with. The Manager or Assistant Manager role joins our high performing Financial Services team in London. This role is an excellent development opportunity and involves leading the planning of assignments and organising the delivery of the work and developing more junior team members. These are diverse in nature, and you'll be able to further develop your skills. You'll take the lead and have the opportunity to work on a variety of projects for financial services firms, including Skilled Person reviews (Section 166 Reviews), regulatory driven reviews and other internal control and assurance reviews. You'll also assist and advise on projects within other disciplines for clients that are not within the financial services sector, providing subject matter expertise. s. This role supports the wider leadership team in developing client relationships, and deliver the team's strategy and drive market propositions You'll be some with <ul><li>Governance and Risk Management related experience working within a professional services, consulting or financial services firm or Regulator (FCA or PRA)</li><li>Knowledge and experience of any of the following: Corporate Governance, Board Effectiveness, Credit Risk, Risk Management Frameworks, SMCR, Operational Resilience, Conduct Risk, D&amp;I and Culture.</li><li>Interest in financial services sector</li><li>Functional knowledge of the UK Financial Services regulatory environment (FCA and PRA)</li><li>Strong report writing and presentation skills of current economic and market trends</li><li>Strong analytical and problem-solving skills, with the ability to present information in a clear and concise manner</li><li>Project Management skills and a track record of delivering high quality outcomes (desirable)</li><li>People Management experience would be beneficial</li><li>Strong commercial awareness and management of quality/risk</li></ul>You'll be able to be yourself; we'll recognise and value you for who you are and celebrate and reward your contributions to the business. We're committed to agile working, and we offer every colleague the opportunity to work in ways that suit you, your teams, and the task at hand. At BDO, we'll help you achieve your personal goals and career ambitions, and we have programmes, resources, and frameworks that provide clarity and structure around career development. We're in it together Mutual support and respect is one of BDO's core values and we're proud of our distinctive, people-centred culture. From informal success conversations to formal mentoring and coaching, we'll support you at every stage in your career, whatever your personal and professional needs. Our agile working framework helps us stay connected, bringing teams together where and when it counts so they can share ideas and help one another. At BDO, you'll always have access to the people and resources you need to do your best work. We know that collaboration is the key to creating value for the companies we work with and satisfying experiences for our colleagues, so we've invested in state-of-the-art collaboration spaces in our offices. BDO's people represent a wealth of knowledge and expertise, and we'll encourage you to build your network, work alongside others, and share your skills and experiences. With a range of multidisciplinary events and dedicated resources, you'll never stop learning at BDO. We're looking forward to the future At BDO, we help entrepreneurial businesses to succeed, fuelling the UK economy. Our success is powered by our people, which is why we're always finding new ways to invest in you. Across the UK thousands of unique minds continue to come together to help companies we work with to achieve their ambitions We've got a clear purpose, and we're confident in our future, because we're adapting and evolving to build on our strengths, ensuring we continue to find the right combination of global reach, integrity and expertise. We shape the future together with openness and clarity, because we believe in empowering people to think creatively about how we can do things better.

Financial Services Advisory Governance & Risk Assistant Manager

Work Location: London, United Kingdom Hours: 35 Line of Business: Compliance Pay Details: We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role. Job Description: KEY ACCOUNTABILITIES CUSTOMER <ul><li>Work with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups</li><li>Lead development of team procedures and governance processes and advise the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization.</li><li>Provide governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)</li><li>Assist Compliance team members in the use of Issues and Events system for tracking and reporting</li><li>Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program</li><li>Represent CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required</li><li>Deliver relevant subject matter expertise and Compliance advice to business Compliance partners</li><li>Interact with control functions within the organization</li><li>Conduct meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs</li><li>Participate in / Manage regulatory examinations and external / internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive</li></ul>SHAREHOLDER <ul><li>Adhere to enterprise frameworks and methodologies that relate to activities for our business area</li><li>Make sure respective programs/ policies/ practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities</li><li>Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate</li><li>Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)</li><li>Participate in cross-functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations</li><li>Conduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audience</li><li>Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices</li><li>Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists</li><li>Lead / facilitate and/or implement actions / remediation plans to address performance / risk /governance issues</li><li>Actively manage relationships within and across various business lines, corporate and/or control functions and manage alignment with enterprise and/or regulatory requirements</li><li>Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts</li><li>Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite</li></ul>EMPLOYEE / TEAM <ul><li>Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest</li><li>Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit</li><li>Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques</li><li>Participate in personal performance management and development activities, including cross training within own team</li><li>Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities</li><li>Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.</li><li>Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.</li><li>Act as a brand ambassador for your business area/function and the bank, both internally and/or externally</li></ul>BREADTH &amp; DEPTH <ul><li>Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas</li><li>Integrate knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services</li><li>Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity</li><li>Independently manages end-to-end functional programs</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for</li><li>Work is guided by policies and industry standards/methods</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders</li><li>Works autonomously as the lead and guides others within area of expertise</li><li>Generally reports to a Senior Manager or above</li></ul>EXPERIENCE &amp; EDUCATION <ul><li>Undergraduate degree</li><li> Relevant professional designations and/or certifications as required</li><li>7+ years relevant experience</li></ul>Who We Are TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs. Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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