P3, Sr. Consultant, Compliance

P3, Sr. Consultant, Compliance

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions.

Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.

With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Regulatory Change Oversight VP 

 

Role purpose  Provide senior operational oversight across the end-to-end GRCM process and supporting technology. The role connects teams across GRCM to maintain visibility of LRR progression, coordinate cross-functional dependencies, oversee ServiceNow production support, develop operational reporting and administer RegBook approvals. Through data-led insight and effective stakeholder engagement, the role identifies bottlenecks, supports timely issue resolution and strengthens operational performance. 

Key Accountabilities 

Cross-functional operational coordination 

•  Act as a central coordination point across GRCM, connecting Horizon Scanning, Regulatory Oversight, Rules Inventory, ServiceNow, CUBE and D&T stakeholders to support effective end-to-end operation. 

•  Monitor cross-functional hand-offs and dependencies, ensuring operational issues, actions and decisions are progressed by the appropriate teams. 

•  Drive resolution of complex issues spanning multiple processes or teams, providing clear direction, constructive challenge and timely escalation where required. 

•  Maintain oversight of Traceability Matrix production status and related cross-functional dependencies, working with the Rules Inventory team to identify and escalate bottlenecks or issues. 

ServiceNow operational oversight 

•  Serve as GRCM’s primary SME for the end-to-end ServiceNow Regulatory Change process, with a detailed understanding of operational hand-offs and platform dependencies. 

•  Triage and coordinate resolution of production issues, defects and operational incidents, ensuring effective tracking, escalation and closure. 

•  Act as the operational liaison with D&T Product and Technology teams on production support, platform stability and service performance. 

•  Administer GRCM ServiceNow access and maintain supporting operational procedures and guidance. 

Operational reporting and process monitoring 

•  Lead the development and ongoing enhancement of the ServiceNow operational dashboard and associated management information. 

•  Provide visibility of LRRs throughout the regulatory change lifecycle, monitoring volumes, ageing, throughput and outstanding actions. 

•  Identify bottlenecks, delays and operational risks through trend analysis, and provide authoritative insight and recommendations to support senior management decisions. 

•  Drive improvements in operational effectiveness, transparency and process performance through data-led reporting. 

RegBook approvals 

•  Approve RegBook subscription requests in CUBE and administer the associated approval workflow in accordance with agreed procedures. 

•  Act as GRCM’s operational contact with CUBE for RegBook requests and related issues. 

•  Maintain RegBook approval procedures, guidance and job aids. 

Continuous improvement 

•  Identify opportunities to simplify, standardise and automate operational processes. 

•  Maintain concise, current operational documentation and use operational insight to support process and service improvements. 

Skills and Experience 

•  Ideally, a compliance or regulatory background within financial services, with a strong understanding of regulatory change management and the interaction between business processes, data and supporting technology. 

•  Experience of technology-enabled operations, ideally including ServiceNow, production support and operational reporting. 

•  Advanced analytical, reporting and problem-solving capability, with a proven ability to diagnose complex operational issues, identify root causes and drive practical resolution; experience developing dashboards and management information, with strong Excel and Power BI skills. 

•  Demonstrated leadership in coordinating complex cross-functional activity, managing dependencies and influencing outcomes across senior business and technology stakeholders. 

Clear executive communication, sound judgement and a disciplined, solutions-focused approach to issue management and continuous improvement. 

•  Proactive and adaptable, with the ability to anticipate issues, take initiative and operate effectively in a fast-paced environment. 

Eligibility for Internal Partners

•3 years as a Team Leader to move as a Section Manager currently at an Officer level.

•24 months as a Consultant to move as a Senior Consultant. Movement within Senior Consultant and Section Manager is applicable if they have prior 36 months of people management experience.

Working with Us

As a Northern Trust 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 committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trust’s history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com, or alternatively you can discuss your individual requirements with the recruiter you are working with.

About Our Bangalore Office

The Northern Trust Bangalore office, established in 2005, is home to over 5,600 employees.  In this stunning office space, we offer fantastic amenities which include our Arrival Hub - Jungle, the GameZone, and the Employee Experience Zone that appeal to both clients and employees. Learn more.

Experience Level

Senior Level