Team Lead, Guernsey Investor and Client Compliance Services

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Role/ Department:

The Team Leader has day-to-day front-line supervisory responsibilities for the Client Due Diligence “CDD” team providing services to internal and/or external clients. They organise the work of the team, assign tasks, set short-term priorities, monitor all activities and ensures timely and accurate completion of the work. The candidate will need to possess the management and organizational skills required to prioritize assignments and provide feedback to staff. The candidate is expected to operate under minimal supervision as the team leader of the team.

The role requires serving Northern Trust clients and investors some of which are large and/or complex and the candidate will be expected to be involved in department projects. An in-depth knowledge of CDD and Guernsey regulatory requirements would be beneficial. The candidate will be responsible for on-boarding new investors as well as reviewing existing CDD held on file following internal Anti-Money Laundering policies and procedures.

The successful candidate will display excellent analytical, consultative, communication and judgment skills.

The key responsibilities of the role include:

• Recruit, train, mentor and develop employees.
• Assist in defining performance standards and conduct performance reviews.
• Provide management, leadership and guidance to staff, creates an environment that encourages employee engagement, teamwork, and communication.
• Oversee the delivery of daily functions and tasks in order to meet client Service Level Agreements.
• Assist in the generation, interpretation and actioning of Management Information Statistics (MIS) metrics.
• Able to identify opportunities for improvement within existing technology applications while acting as a liaison with Partner areas to drive resolution.
• Ensure appropriate operational controls in order to manage and mitigate risk to Northern Trust.
• Research, analyse and resolve complex client / investor inquiries.
• Build working relationships with clients; be an advocate for the client.
• Serve as a point of escalation, maintain and monitor issues log and work to resolve client servicing issues in a timely manner.
• Schedule and conduct Due Diligence meetings, and other Client meetings as required.
• Responsible for understanding the client’s business and needs/deliverables
• Ensures internal and Client issues are communicated and escalated in a timely manner.
• Overseeing the risk rating of all investors
• Sharing knowledge and expertise, efficiently and professionally
• Ensuring that anti-money laundering and CDD procedures are strictly adhered to and updated when necessary
• Ensuring that all investor correspondence is accurate, reviewed then sent out in timely and professional manner
• Promoting commitment to the provision of an innovative and high quality service to clients
• Assisting with the new business / client take on and ensuring a smooth operational roll out

Skills/ Qualifications:

• Compliance / Regulatory monitoring / CDD / AML knowledge
• Experience of people management
• Accurate with attention to detail
• Highly flexible and adaptable to change
• Customer Service
• Good product / Service Knowledge
• Excellent Communication skill written and verbal – essential for client servicing
• Adherence to standards and procedures
• Problem solving
• Promotion of best practices
• Knowledge of fund administration business (or similar Banking / Custody)
• Able to work on own initiative
• Good working knowledge of systems (Excel, Word, Adobe)
• ICA Certificate or Diploma in Compliance / AML desirable

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us.

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.

We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Talk to us about your flexible working requirements and together we can achieve greater.

For further information, and to apply, please visit our website via the “Apply” button below.