Principal - Head of Compliance Architecture

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions.

Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.

With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Job Description Compliance Architect serves as the senior architecture authority across Financial Crimes, Regulatory Compliance, Regulatory Change portfolios, along with expanding involvement with Legal / Audit technology portfolios. This role is accountable for establishing target-state architecture, governing technology strategy, accelerating platform modernization, and ensuring regulatory technology solutions operate as an integrated ecosystem.

The architect provides strategic leadership across SaaS, cloud-native, hybrid, and on-premise platforms; enterprise data environments; vendor solutions; engineering organizations; and compliance capabilities, ensuring technology investments deliver scalable, resilient, secure, and compliant business outcomes.

Major Duties

• Serves as the lead architecture authority for Financial Crimes, Regulatory Compliance, Regulatory Change portfolios, providing technical leadership across Anti-Money Laundering (AML), KYC, Sanctions Screening, Fraud Prevention, Ethics & Conduct, Trade Surveillance, Electronic Communications Surveillance, Regulatory Change Management, Compliance Risk Assessment, Compliance Testing, Compliance Monitoring capabilities.
• Establishes and maintains the target-state architecture vision across the portfolio, ensuring technology solutions align with regulatory obligations, business strategy, enterprise architecture standards, and long-term technology objectives.
• Develops portfolio-level architecture roadmaps and modernization strategies, identifying opportunities for capability expansion, platform rationalization, cloud adoption, technical debt reduction, cost optimization, and technology transformation.
• Defines and governs enterprise architecture principles, engineering standards, design patterns, and technology reference architectures across SaaS, cloud-native, hybrid, and on-premise environments.
• Leads evaluation and selection of strategic technology platforms and vendor solutions, performing architecture due diligence and providing recommendations regarding scalability, resiliency, security, integration complexity, supportability, and total cost of ownership.
• Establishes architecture standards and governance processes for commercial, SaaS, and internally developed solutions, ensuring consistency across application, integration, data, infrastructure, and security domains.
• Designs and governs enterprise integration patterns across critical source systems, including payment systems, trade processing platforms, client onboarding systems, sanctions screening platforms, master data management solutions, regulatory reporting systems, and operational platforms.
• Provides strategic oversight of enterprise data architecture, including data acquisition, transformation, governance, lineage, quality, analytics, reporting, and AI enablement capabilities leveraging technologies such as Snowflake, Databricks, cloud data platforms, real-time streaming technologies, and enterprise data ecosystems.
• Establishes architecture standards supporting modern cloud and distributed systems including API-led architectures, event-driven integration, microservices, container platforms, cloud-native services, and platform engineering practices.
• Provides architectural leadership and governance for critical compliance technology platforms, including AML and transaction monitoring solutions, Actimize, sanctions screening platforms, fraud management solutions, ServiceNow IRM, regulatory change platforms, surveillance technologies, and audit automation capabilities.
• Drives enterprise resiliency, recoverability, and operational excellence initiatives including active-active architectures, hot-hot disaster recovery models, blue-green deployment strategies, high availability design, observability, fault tolerance, and business continuity readiness.
• Establishes and improves engineering discipline and software delivery practices, including CI/CD pipelines, DevSecOps operating models, automated testing, release governance, engineering standards, infrastructure-as-code, software lifecycle management, and technical debt governance.
• Participates in enterprise architecture review boards and design governance forums, providing technical oversight and approval for strategic initiatives, architecture exceptions, platform roadmaps, and major technology investments.
• Partners with Product Management, Compliance, Risk, Audit, Operations, Cyber Security, Infrastructure, Data Management, and Engineering organizations to ensure technology capabilities support strategic regulatory objectives and business outcomes.
• Provides leadership support to technical leads, engineering managers, and development teams, fostering architecture consistency, engineering excellence, and operational maturity across the portfolio.
• Advises executive leadership on technology strategy, emerging technologies, architecture risks, platform investment decisions, modernization opportunities, regulatory technology trends, and enterprise technology direction.
• Carries out the most complex initiatives involving multiple disciplines, technologies, regulatory requirements, and stakeholders while balancing business value, risk, cost, and operational sustainability.
• Consistently displays a balanced, cross-functional perspective, liaising with business and technology leadership to improve efficiency, effectiveness, resilience, risk management, and organizational productivity.
• Highly flexible and adaptable to organizational, regulatory, technology, and business change.   Knowledge Requires extensive knowledge of enterprise architecture, distributed systems, cloud-native technologies, financial services technology platforms, regulatory technology ecosystems, and modern software engineering practices. Strong expertise required in: Familiarity with at least 2 of the three domains:

1. Financial Crimes Compliance technologies including AML, KYC, Sanctions Screening, Transaction Monitoring, Fraud Prevention, and Case Management.
2. Regulatory Compliance capabilities including Trade Surveillance, Electronic Communications Surveillance, Ethics & Conduct, Regulatory Reporting, and Conduct Risk Management.
3. Regulatory Change and Governance, Risk and Compliance (GRC) platforms including Compliance Risk Assessment, Compliance Testing, Compliance Monitoring, Regulatory Change Management, and Audit Management. Enterprise architecture disciplines including application architecture, integration architecture, data architecture, infrastructure architecture, security architecture, and solution architecture. Cloud and hybrid technology platforms including cloud-native architectures, microservices, APIs, event-driven systems, containerization, platform engineering, and PCF/Kubernetes environments. Enterprise data architecture utilizing Snowflake, Databricks, data lakes, data warehouses, master data management, metadata management, AI enablement, and advanced analytics platforms. Enterprise resiliency, disaster recovery, active-active architectures, high availability, blue-green deployments, observability, and operational readiness frameworks. Modern DevSecOps and software engineering disciplines including CI/CD, automated testing, infrastructure-as-code, secure software delivery, and software lifecycle governance. Vendor management and architecture governance for enterprise and regulatory technology platforms. Requires exceptional analytical ability, judgment, communication skills, executive presence, negotiation skills, and the ability to influence senior leaders across business, compliance, risk, audit, operations, and technology functions.   Experience Bachelor's degree in Computer Science, Engineering, Information Systems, or a related discipline, and at least fifteen or more years of progressively responsible experience in enterprise architecture, software engineering, data architecture, or technology leadership. Experience should include: Enterprise architecture leadership across multiple business domains and technology portfolios. Financial services, banking, regulatory, risk, compliance, audit, or financial crimes technology environments. Delivery and governance of SaaS, cloud-native, hybrid, and on-premise solutions. Enterprise data architecture, data engineering, analytics, and integration platforms. Vendor solution evaluation, architecture governance, and technology modernization initiatives. Large-scale program and portfolio transformation efforts involving multiple technologies, stakeholders, and regulatory requirements. Architecture leadership across geographically distributed teams and complex enterprise environments. Influencing executive stakeholders and driving technology strategy at the portfolio or organizational level.

Working with Us

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trust’s history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [email removed] , or alternatively you can discuss your individual requirements with the recruiter you are working with.

About Our Pune Office

The Northern Trust Pune office, established in 2016, is now home to over 3,000 employees. The office handles various functions, including Operations for Asset Servicing and Wealth Management, as well as delivering critical technology solutions that support business operations across the globe.

Our Pune team takes our commitment to service to heart. In 2024, they volunteered more than 10,000+ hours into the communities where they live and work. Learn more.