Financial Crime

• Accurately process and/or review investor information with specific reference to AML
• Liaise with Investor Services/Dealing Team and AML Team Leads to complete client review processes
• Conduct AML reviews, incorporation and KYC document reviews, financial sanctions and PEP screenings, and independent investor research
• Review investor accounts to ensure Customer Due Diligence requirements are met
• Maintain current knowledge of AML regulations and best practices
• Promote enhancements to AML processes and procedures
• Maintain AML checklists and procedures
• Meet internal and external service levels and regulatory deadlines
• Meet quality targets
• Provide money movement notifications to clients and prepare wire instructions for fund investor activity
• Serve as the client operational contact for AML
• Resolve queries, problems, and errors in a timely manner
• Adhere to departmental procedures and controls
• Work on projects and ad-hoc tasks as required
• Contact investors regarding outstanding AML or tax requirements
• Assist with query handling and quality error analysis
• Identify root causes and help develop solutions
• Provide periodic team-performance reports to the Manager

AML Associate – Senior Associate

• Accurately process and/or review investor information with specific reference to AML
• Liaise with Investor Services/Dealing Teams and AML Team Leads to complete client review processes
• Carry out AML reviews, incorporation and KYC document reviews, financial sanctions and PEP screenings, and independent research on new/onboarding and existing investors
• Review investor accounts of varying complexity to ensure Customer Due Diligence requirements are met
• Maintain current knowledge of AML regulations and best practices and promote enhancements to AML processes and procedures
• Maintain AML checklists and procedures
• Ensure internal and external service levels and regulatory deadlines are met
• Meet quality targets
• Provide money movement notifications to clients and prepare wire instructions for fund investor activity
• Serve as the client operational contact for AML and maintain client relationships
• Resolve queries, problems, and errors in a timely manner
• Adhere to established departmental procedures and controls
• Work on projects and ad hoc tasks as required
• Demonstrate team-player qualities within Investor Services
• Contact investors regarding outstanding AML or tax requirements
• Assist with query handling and quality error analysis, identify root causes, and help develop solutions
• Provide periodic team performance reports to the Manager

• Take responsibility for timely and accurate completion of allocated workload, including tasks processed through Northern Trust’s workflow process
• Review investor documentation and information in adherence with Northern Trust’s AML processes and procedures
• Highlight outstanding investor due diligence documentation to the Investor AML Department in Ireland
• Escalate and assist with resolution of complex problems and critical issues
• Respond efficiently and professionally to queries from Northern Trust partners
• Complete support services for Ireland and UK Investor AML processes and procedures
• Provide regular, meaningful, and accurate updates to line managers and colleagues in Bangalore, Pune, and Ireland
• Maintain strong working relationships with partners in Northern Trust’s Investor AML Department in Ireland
• Help ensure Investor AML support teams in Bangalore and Pune meet audit, risk, and compliance standards
• Maintain current knowledge of Investor AML good practice and promote process and procedure enhancements
• Perform additional work when volume or absence requires it

Technical Coordinator, AML TA

• Complete allocated workload accurately and on time, including transaction monitoring and screening alerts
• Conduct periodic investor documentation reviews and investor transitions into and out of Northern Trust
• Review investor documentation and information pursuant to trigger events or periodic reviews in accordance with AML processes and procedures
• Identify and escalate inadequate or outdated investor due diligence documentation to the Investor AML Department in Ireland
• Escalate complex problems, critical issues, and material matters to line management
• Resolve queries from Northern Trust partners efficiently and professionally
• Complete support services for Ireland and UK Investor AML processes with colleagues in Ireland
• Provide regular, meaningful, and accurate updates to line managers and colleagues in Bangalore, Pune, and Ireland
• Maintain strong working relationships with partners in the Northern Trust Investor AML Department in Ireland
• Ensure Bangalore and Pune Investor AML support teams meet audit, risk, and compliance standards
• Maintain current knowledge of Investor AML good practice and promote process and procedure enhancements
• Perform additional work when workload volume or absence requires

Financial Crime jobs in India

AML Associate – Senior Associate

AML Associate – Senior Associate

Technical Coordinator, AML TA

Senior Analyst, AML, TA