Senior Advisor and Engagement Leader for Supervisory Engagement Management, Regulatory Affairs – EMEA and Global

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 worlds 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 22000 partners we serve the worlds most sophisticated clients using leading technology and exceptional service.

Role/Department:

The Senior Advisor and Engagement Leader for the Europe Middle East and Africa (EMEA) region is responsible for advising on and overseeing regulatory interactions within a large financial institution through strong advisory and coordination practices. This role focuses on building and maintaining strong partnerships with the global executive leadership in support of their interactions with regulatory authorities within the region driving advanced preparation activities assisting with authoring materials as required and working to ensure responsiveness and timeliness of materials submitted to regulatory agencies. The role also requires strong partnership and collaboration with other partners within the Global Supervisory Engagement Office identifying and managing key risks themes and trends partnering with other corporate services and business units to help ensure compliance with complex and evolving regulations aligning to internal regulatory engagement practices with supervisory expectations. The successful candidate will work closely with leaders at all levels in the organization to drive regulatory readiness throughout the engagement lifecycle ensure all forms of engagement align to standard processes and best practices and drive a proactive and transparent approach to regulatory engagement.

This role is an individual contributor role reporting to the head of Global Supervisory Engagement to effectively drive the strategic objectives of the team both within EMEA and globally. This role will also be responsible for assisting in the management of intake tracking and coordination of regulatory correspondences and engagements for the organization in support of EMEA Northern Trust Executive Leaders who interface with regulatory agencies both within the region and globally. This role will also play a critical role in ensuring efficient timely and accurate handling of all communications with regulatory bodies supporting the organizations overall regulatory strategy.

The Key Responsibilities of the role include:

Strategic Regulatory Engagement:

• Assist with the development and execution of a comprehensive and evolving supervisory engagement strategy specific aligning regulatory objectives with business goals.

• Support the engagement with regulators both within EMEA and globally as EMEA partners engage with the global regulators to regulatory bodies and coverage areas fostering transparent and productive communication regarding regulatory priorities examinations and other supervisory matters. Expectation will be to meet frequently with key regulatory contacts at all levels in their organization to drive alignment between their expectations and our approach.

• Help lead the management of regulatory engagements ensuring preparedness and responsiveness to supervisory requirements.

• Partner internally to also ensure proactive resolution of regulatory issues.

• Help develop an integrated strategy to address legal entity-specific regional global and other jurisdictional considerations. This will include partnering with other groups to strengthen supervisory oversight including but not limited to government affairs legal and compliance.

Regulatory Engagement Preparation:

• Contribute to and help maintain a set of policies and procedures to standardize regulatory engagement management practices across the firm.

• Develop and deliver targeted awareness programs on examination readiness regulatory responsibilities and other best practices.

• Lead the drafting of materials where needed to ensure messaging is clear and responsive

• Cultivate a culture of regulatory awareness and accountability ensuring that all team business unit partners understand their roles in meeting regulatory expectations.

Engagement Management:

• Oversee the planning coordination and execution of regulatory examinations and supervisory engagements for corporate services ensuring full preparedness efficient documentation and thorough responses by developing strong partnerships with Northern Trust Partners and regulators.

• Help ensure responses are written with a high degree of professionalism

• Collaborate closely with the leaders and partners to gather and/or document required materials coordinate responses and manage follow-ups with regulatory authorities.

• Help ensure responses are written with a high degree of professionalism and accuracy required by supervisory agencies.

• Ensure timely implementation and tracking of corrective actions or enhancements based on regulatory findings aligning with best practices and regulatory expectations.

Risk and compliance alignment:

• Work with compliance risk audit legal and other first line of defense teams to identify and address regulatory risks that may emerge from supervisory engagements. Provide feedback to other partners to ensure robust controls and mitigation strategies are considered.

• Monitor regulatory developments and assess their impact on the corporate service partnering closely with groups such as risk and compliance (e.g. regulatory change management)

• Strengthen regulatory governance frameworks within these functions supporting ongoing alignment with industry standards and emerging regulatory expectations.

Stakeholder Communication and Reporting:

• Provide regular updates to senior management on regulatory engagement activities including examination outcomes and trends in supervisory feedback.

• Act as a trusted advisor to leaders within the coverage areas providing insights into supervisory expectations regulatory risks and strategic implications for business operations.

• Maintain transparent effective communication channels with regulators building trusted relationships that reinforce the organizations commitment to compliance and regulatory excellence.

Management of Regulatory Correspondence:

• Handle the intake logging and tracking of incoming regulatory communications ensuring all correspondences are accurately recorded and assigned to the appropriate internal stakeholders.

• Synthesize at times complex formal communications for internal stakeholders in a manner that is clear and concise.

• Prepare and manage outgoing regulatory communications ensuring alignment with organizational standards and deadlines.

• Support the Operations Lead in prioritizing regulatory inquiries and requests escalating issues as needed for prompt resolution.

Coordination of Regulatory Engagements:

• Coordinate all logistical aspects of regulatory engagements including scheduling meetings managing documentation requests and tracking responses.

• Liaise with internal teams across departments such as Compliance Risk and Legal to ensure all relevant information is gathered and organized for regulatory engagements.

• Support the preparation process for regulatory exams and audits by ensuring key stakeholders have access to required documents and resources.

Tracking and Reporting:

• Maintain up-to-date records of all regulatory engagements tracking key dates deadlines and action items in the regulatory engagement management system.

• Prepare summaries and reports on regulatory correspondence and engagement activities supporting the Operations Lead in providing insights to senior leadership.

• Monitor and report on key metrics related to engagement volume response times and issue resolution status identifying areas for improvement.

Records and Content Management :

• Create content management solutions (e.g. MS Teams) that enable easy store and retrieval of artifacts in a timely manner.

• Ensure alignment with internal records management policies and standards.

Process Improvement and Compliance:

• Assist the Operations Lead in reviewing and refining processes for managing regulatory correspondences and engagements to optimize efficiency and accuracy.

• Ensure all regulatory interactions adhere to compliance standards and internal protocols maintaining a high level of quality control.

• Contribute ideas and feedback on process improvements to enhance the teams responsiveness and effectiveness in regulatory interactions.

Stakeholder Communication and Support:

• Serve as a point of contact for internal stakeholders involved in regulatory engagements answering questions and providing guidance on engagement protocols.

• Collaborate with team members to ensure seamless handoffs and timely updates on regulatory matters.

• Participate in team meetings and training sessions to stay informed of regulatory developments best practices and organizational changes.

Skills/Qualifications:

The successful candidate will benefit from having:

• Bachelors degree in Business Administration Finance Law or a related field preferred.

• Deep experience in regulatory relations compliance or operational support within a financial services or corporate environment.

• Extensive experience in complex problem solving across large complex teams. A master in driving impactful change in ambiguous and changing environments.

• Prior experience defining regulatory engagement strategies influencing outcomes and driving overall strategic execution in compressed timelines.

• Expertise in the supervisory engagement management lifecycle to drive proactive transparent and well managed engagements.

• Strong organizational and communication skills with an ability to manage multiple tasks and meet deadlines in a fast-paced setting.

• Exceptional leadership and stakeholder management skills with experience collaborating with senior leaders and regulatory agencies. Has gravitas and ability to engage with stakeholders at all levels.

• Strong interpersonal skills facilitation conflict resolution team building coaching
  members on practices framework ability to teach/train etc.

• Strong working knowledge of the regulatory frameworks governing them within the financial services industry.

• Proven track record in managing regulatory engagement of all sizes and complexities in high-stakes environments

• Exceptional written and verbal communication skills with a proven track record to synthesize complex content to various levels of stakeholders such as Board of Director to working group members.

• Strong analytical problem-solving and strategic thinking abilities with keen attention to detail.

• Ability to lead and motivate cross-functional teams in a dynamic fast-paced environment.

• Highly organized and high performing with ability to work on multiple competing priorities each with aggressive deadlines.

• Embraces and is motivated by a changing environment.

• Ability to lead and drive engagements of another coverage area with the firm (e.g. a business unit or another corporate service and/or region).

• Individual must possess and demonstrate a strong leader-doer mindset

• High attention to detail with demonstrated skills in tracking documentation and reporting.

• Proficient in using regulatory engagement tracking systems document management tools and basic project management software.

• Self-motivated highly flexible and adaptable to change; results oriented focusing on desired outcomes. Ability to multi-task and handle multiple engagements simultaneously.

• Analytical and problem-solving skills are required

• Must have solid judgment to manage competing priorities.

• Technical skills: Outlook Teams Microsoft Office 365 suite required (advanced with Excel Word SharePoint PowerPoint MS Project Adobe)

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.

Wed love to learn more about how your interests and experience could be a fit with one of the worlds 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 .

We hope youre 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.