Investor Compliance Lead
2 days ago
About Northern Trust
We are a Fortune 500 company that has been serving the world's most sophisticated clients using leading technology and exceptional service for over 130 years.
Role/ Department
The Investor AML Operations team is responsible for completing a workload with guidance from colleagues and line management to support all aspects of AML in line with:
- AML Legislation/Regulation & Guidance/Best Practice.
- The Investor AML Department's processes and procedures.
In addition, partners must maintain strong relationships with key stakeholders to deliver a robust AML service to our client and investor base.
The Key Responsibilities Of The Role Include
- Direct the work of the team, allocate tasks, set short-term priorities, monitor all activities, and ensure timely and accurate completion of the work.
- Respond to internal and external inquiries related to Anti Money Laundering requirements for investors.
- Assess procedural requirements and suggest suitable procedural changes where necessary.
- Design training material and facilitate training within the department, including new hires.
- Provide subject matter expertise and guidance to other employees.
- Manage performance, develop careers, and handle staffing and disciplinary actions.
- Address problems, identify solutions, and introduce new approaches to ensure the team achieves its objectives.
- Affect the quality of tasks performed or services provided by the team.
- Collaborate in AML operations quality control review of investor documentation for investors, adhering to Northern Trust's AML policy and procedures.
- Work with colleagues and line management to review investor documentation and collect outstanding due diligence documentation, if any.
- Aware of adverse media on investor accounts and assess high-risk factors linked to accounts, such as PEP involvement.
- Escalate and assist with the resolution of complex problems and critical issues referred to the Investor AML Operations team.
- Ensure prompt and professional handling of queries from internal and external parties, with support from line management where needed.
- Collaborate with line management to ensure the Investor AML team meets audit, risk, and compliance standards as specified.
- Maintain current knowledge of AML regulation and best practice to enhance Northern Trust's AML processes and procedures.
- Complete additional work where volume or absence necessitates such workload to be accomplished across AML Operations.
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