Manager, BU Compliance

Major Duties

• Lead and oversee daytoday KYC operations within the KYC CoE, ensuring timely and accurate completion of CDD and EDD.
• Ensure operational execution aligns with AML/KYC policies, procedures, regulatory requirements, and enterprise standards
• Manage workflow allocation, capacity planning, and prioritisation to meet service level agreements (SLAs) and regulatory timelines
• Act as a point of escalation for complex KYC cases, operational issues, and delivery risks

• Embed strong 1LOD controls across KYC operational processes to ensure consistent, highquality outputs
• Identify, assess, and manage operational AML/KYC risks, ensuring issues are logged, tracked, and remediated in line with Northern Trusts risk appetite
• Own and deliver remediation actions arising from quality assurance reviews, audits, regulatory exams, and 2LOD challenges
• Drive root cause analysis for recurring issues and implement sustainable process improvements

• Partner closely with the KYC CoE Governance, Quality Assurance, Training, and 2LOD teams to ensure alignment
• Provide operational updates, MI, and insights to senior management, highlighting risks, capacity constraints, and emerging themes
• Participate in relevant AML/KYC forums and working groups, representing KYC Operations and ensuring clear communication of operational risks and dependencies

• Support the implementation of process enhancements, technology changes, and strategic initiatives impacting KYC Operations (e.g. tooling, workflow optimisation, regulatory change)
• Promote standardisation and best practices across the KYC CoE to drive efficiency and consistency
• Champion a culture of continuous improvement, accountability, and operational excellence

• Recruit, develop, and lead a team of KYC Operations professionals
• Set clear performance expectations, provide coaching, and support capability development
• Foster a collaborative, inclusive, and highperformance culture aligned to Northern Trust values

Skills

• Requires Financial Institution Regulatory and Compliance knowledge including AML, Customer Identification Program (CIP), Enhanced Due Diligence (EDD) and Know Your Customer (KYC) regulatory requirements and Economic Sanctions laws and regulations, usually acquired through formal education or experience.
• Proven experience in a KYC Operations, AML Operations, or Financial Crime role within Financial Services
• Demonstrated people management experience, including performance management and capability development
• Strong organisational skills with the ability to manage competing priorities in a highvolume environment
• Excellent communication and stakeholder management skills, with the ability to escalate and influence effectively
• Strong risk management mindset with the ability to manage complexissues.
• College or university degree and / or equivalent relevant professional experience
  

Salary Range:

Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.