Major Duties :
1. 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. 2. Works with colleagues and line management in reviewing such investor documentation and efficiently highlighting outstanding investor due diligence documentation (if any) to the Investor AML Department in Australia, by agreed modes of communication, with professionalism of approach and timely escalation of material issues arising. 3. 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 Australia). 4. 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 Australia) are dealt with efficiently and professionally. 5. Takes responsibility for completion of support services for Australia Investor AML processes and procedures in conjunction with Northern Trust colleagues in Australia and provides regular, meaningful and accurate periodic updates to his/her line manager and colleagues in Bangalore, Pune and Australia. 6. Maintains strong working relationships with partners in Northern Trust Investor AML Department in Australia. 7. 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. 8. 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. 9. Performs additional work where volume or absence requires such workload to be completed. ACCOUNTABILITIES 1. 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. 2. 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. 3.. The successful candidate is required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of such duties. Knowledge : Knowledge of day-to-day Investor AML processes and procedures and the wider funds administration business. Previous people management experience. Previous experience in an Investor AML servicing role. Strong organizational and communication skills. Effective risk management. 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. Experience : Overall experience of 4-6 years Bachelor s degree with emphasis in Accounting, CA or ICWA Inter/Master degree/IAQ/IOC or equivalent a plus Experience in Audit/Operational Control/ Risk or equivalent Accounting / financial services/ capital markets work experience or equivalent Should be flexible for shifts and extended working hours.
