GFS EMEA AML Regulatory Manager

4 weeks ago

London, Greater London, United Kingdom Northern Trust Full time

About Northern Trust

Northern Trust is a leading global financial institution with a rich history spanning over 130 years. We provide innovative financial services and guidance to the world's most sophisticated individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity.

We are currently seeking an experienced AML Regulatory Oversight Manager to join our team in the EMEA region. This role will be responsible for providing technical oversight, strategy, and direction for the EMEA Transfer Agency business investor AML model.

Key Responsibilities

  • Regulatory Technical:
    • Provide support and direction for technical regulatory adherence of GFS operating model.
    • Design and operate regional Executive AML regulatory oversight governance.
    • Design and operate a robust regulatory oversight framework which includes the following: monitoring activities; review and challenge process around AML operations and oversight functions; key risk identification and management; regulatory strategy and policy; oversight of regulatory breaches and incidents; major change; issues and escalations; Audit / ECT / RCSA issues; and regulatory and operational risks.
    • Provide the technical regulatory response to industry and regulator change, ensuring the operating model is fit for purpose across country-specific regulatory frameworks.
    • Standing attendee at key functional and legal entity regional governance and risk oversight forums.
    • Support Northern Trust 2LOD and 3LOD Audit Services, Risk reviews, and Compliance monitoring reviews covering GFS AML frameworks and operating model.
  • Operations Regulatory Oversight Framework:
    • Manage regional oversight framework for GFS adherence to AML regulatory themes, aligned with GFS Global policy and direction, and supporting the response and adherence to NT 2LOD (Risk, compliance) oversight.
    • Ensure robust compliance with applicable regulation and risk appetite through day-to-day support and oversight of E2E systems, processes, and controls operated within in scope business units and the EMEA Investor AML operations. This includes investor due diligence, PEP/Sanctions/Adverse Media screening, PEP risk management, periodic reviews, transaction monitoring, and fraud risk management.
    • Own the regional oversight for key AML RCSA compliance controls.
    • Drive partner training and awareness of relevant oversight requirements, policies and procedures, and cultural embeddedness across the in-scope business units.
  • External support and engagement:
    • Develop and maintain effective relationships with relevant regulatory bodies, relevant third parties and vendors, and industry working groups; gather and provide market, industry, and regulator intelligence/change to support the ongoing evolution of the GFS operating model.
    • Support GFS clients in their obligations under AML regulations, including provision of information and guidance as to NT regulatory framework and adherence.
    • Prepare materials and support Executives with external regulatory engagement, and interact with regulators as required.
    • Participate in client and prospect client due diligence and engagement sessions in respect of the oversight/governance model and technical compliance.

Requirements

  • Significant experience in asset servicing and/or asset management, with extensive understanding of key AML / AFC regulatory obligations of fund services businesses.
  • Experience with key Important Business Services operations; Fund Administration advantageous.
  • Experience managing and influencing senior exec stakeholders and business unit owners.
  • Strong Industry presence.
  • Highly flexible and adaptable to change, self-starter.
  • Demonstrated leadership, planning, and organizational skills.
  • Ability to coach and develop skillsets in partners, bridging the gap between regulatory and business expertise.
  • Excellent oral and written communication skills with the ability to present confidently to legal entity governance bodies and executives while avoiding ambiguity.

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