Technical Coordinator – Investor AML Support
The Transfer Agency department provides third‑party fund administration services to a range of fund management companies, handling shareholder servicing functions such as dealing, registration, settlements and investor documentation. The Technical Coordinator supports this activity by ensuring operational efficiency and maintaining compliance with AML regulations.
Responsibilities
Supports the Team Leader in ensuring operational efficiency with respect to workflow distribution and ensuring the effective use of staff resources.
Carries out complex activities with significant financial, client, and/or internal business impact. Able to serve as a key subject matter expert and mentor to other more junior level employees.
May manage daily operational activities and supervise day‑to‑day work of junior level employees (but not a formal management role).
Takes responsibility for the timely and accurate completion of workload allocated including tasks processed through Northern Trust’s workflow process.
Actively participates in the review of investor documentation and information in adherence with Northern Trust’s AML processes and procedures.
Works with colleagues and line management in reviewing such investor documentation and efficiently highlighting outstanding investor due diligence documentation to the Investor AML Department in Ireland, by agreed modes of communication, with professionalism of approach and timely escalation of material issues arising.
Escalates and assists with resolution of more complex problems and critical issues, including those received from other Northern Trust partners (including primarily the Northern Trust Investor AML Department in Ireland).
Works with colleagues and line management to ensure that all queries from other Northern Trust partners (including primarily the Northern Trust Investor AML Department in Ireland) are dealt with efficiently and professionally.
Takes responsibility for completion of support services for Ireland & UK Investor AML processes and procedures in conjunction with Northern Trust colleagues in Ireland and provides regular, meaningful and accurate periodic updates to his/her line manager and colleagues in Bangalore, Pune and Ireland.
Maintains strong working relationships with partners in Northern Trust Investor AML Department in Ireland.
Works with his/her line management and other colleagues to ensure that the Investor AML support teams in Bangalore and Pune meet the required audit, risk and compliance standards as determined, from time to time, in accordance with advised changes in processes and procedures pursuant to amendments in prevailing legislation, guidance and best practice.
Maintains an up‑to‑date knowledge of Investor AML good practice and uses this knowledge to promote enhancements to Northern Trust’s AML processes and procedures.
Performs additional work where volume or absence requires such workload to be completed.
The successful candidate is required to comply, and ensure direct and indirect reports comply, with the global AML regulatory regime in which Northern Trust operates as appropriate to the above role.
The successful candidate is expected to exercise due care and diligence, and ensure that the responsibilities of the role are organized and controlled within the ambit of regulation, compliance and risk management.
The successful candidate is required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of such duties.
Qualifications
Knowledge of day‑to‑day AML processes and procedures and the wider funds administration business.
Previous experience in AML.
Strong organizational and communication skills.
Effective risk management.
Demonstrated ability to research and understand complex issues and deliver solutions agreed with line management. General knowledge of the global Investor AML regulatory environment.
General knowledge of Microsoft Office applications relating to designated areas of responsibility.
Bachelor’s degree with emphasis in Accounting, CA or ICWA Inter/Master degree/IAQ/IOC or equivalent.
Experience in Audit/Operational Control/Risk, Accounting/Financial Services/Capital Markets work experience or equivalent.
Should be flexible for shifts and extended working hours.
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 MyHRHelp@ntrs.com.
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