AML Specialist - Registration
SENIOR ANALYST, TRANSFER AGENCY - AML & REGISTRATION
Founded in Chicago in 1889, Northern Trust is one of the world’s leading financial institutions. We specialise in providing asset servicing solutions and asset management to both institutional and personal clients. The delivery of products and services to this client base is supported through a network of offices around the globe.
The Registration Team is responsible for creating new investment records and maintaining existing Client, Investor and Agent records according to regulatory, compliance and operational requirements. This role is for Consultant level.
- AML-KYC: analyse and perform investor account opening as well as periodic review(s). Ensure that the accounts are compliant with local regulations and bank policies. Be the first escalation point within the team for any complex case
- Ensure the team work is performed on a timely and quality manner
- Monitor and control the daily processing work to completion, including quality assurance, timely delivery and managing of outstanding work including the Workflow queue management, analysis and allocation of work
- Assist the Team Leader in managing a team of approximately 8 headcounts
- Escalation point for unresolved issues from the teams in Luxembourg and Bangalore
- Respond to complex queries relating to Registration internally and/or externally to Transfer Agency and monitor the resolution of other queries in respect of SLA’s
- Maintenance, adherence and training of team in relation to procedures, guidance notes, regulation and client specific requirements/deliverables and segregation of duty
- Actively participates to improve Registration processes
- Actively participate in internal/group projects and implements changes
- Ensure team comply with the regulatory regime in which Northern Trust operates
- Ensure team exercise due care and diligence, and ensure that the responsibilities of the role are organised and controlled within the ambit of regulation, compliance and risk management
- Ensure observation of standards of market, business and personal conduct, demonstrating integrity
- Ensuring that KPIs are achieved and ad-hoc reporting produced
- Build and maintain relationships with internal Relationship Managers and clients, as well as external clients and advisors
QUALIFICATIONS / SKILLS / EXPERIENCE
- Strong knowledge of Transfer Agency AML Regulations, Financial Sanctions, PEP’s, CDD
- Competent working knowledge of Transfer Agency Line of Business system in relation to Registration functions
- Demonstrate effective control and supervision of work
- Extensive Transfer Agency Registration work experience
- Customer Service experience
- Suspicious transaction reporting
- Computer literate and good Microsoft Office knowledge (Excel, Word, PowerPoint)
- English spoken, written. Other languages are an asset
- Provide guidance and support to staff
- Understand principles of quality delivery
- Accuracy and attention to detail,
- Planning / Organisational skills
- Work under pressure and unsupervised
- Interpersonal / Team player
- Self-motivated / Own initiative
- Ability to stay focussed / tenacious
- Effective communication skills, both verbal and written
About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
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 that is committed to strengthening the communities we serve!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
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 ethical companies. Build your career with us and apply today.
As Northern Trust is a financial organisation; all new employees will be required to undergo a criminal record check.
For further information, and to apply, please visit our website via the “Apply” button below.