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Analyst, Compliance (Customer Due Diligence)

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Risk Management/Compliance
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76449 Requisition #
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Under general supervision, primarily focused on anti-money laundering (AML), provides support for business unit activities, including periodic and event driven reviews of existing clients, researching and identifying issues, reporting, and other duties as assigned. Detects and advises management of potential AML Compliance issues and recommends procedural changes.

Major Duties


1. Reviews client files for conformance with applicable AML policies, procedures and regulatory requirements and works with front office teams to facilitate queries.

2. Provides support and functional knowledge as it relates to compliance with applicable AML laws, rules and standards.

3. Identifies and escalates to Global AML management any regulatory compliance risks associated with the file reviews completed.

4. Performs continuous monitoring of customers including investigating Adverse Media and Politically Exposed Person alerts

5. Participates in all applicable training.

6. Carries out business-related activities that may be required to support Global AML Compliance guidelines.

7. Provides support as requested by Global AML Management as necessary to resolve compliance issues, including actions in response to Regulatory exam and Audit findings.

Knowledge/Skills

• Knowledge of AML, Customer Identification Program (CIP), Enhanced Due Diligence (EDD) and Know Your Customer (KYC) regulatory requirements as they apply to Wealth Management, Corporate and Institutional, and Asset Management clients to effectively perform periodic and event driven client file reviews.

• Strong analytical, interpersonal, verbal and written communication skills are required to analyze and summarize information.

• Ability to work independently and meet deadlines. 

Experience/Qualifications 

• Minimum of 3 - 5 years’ experience in AML Compliance, Risk Management or Financial Services Industry

• CAMS Certification or other AML Designation (preferred but not required)

• Knowledge of KYC Systems / Tools 

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands. We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

As of March 31, 2019, Northern Trust Corporation had:  

$10.9 trillion in assets under custody/administration 
$8.2 trillion in assets under custody
$1.2 trillion in assets under management 
$122 billion in banking assets

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement