Senior Analyst AML-4

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.

Senior Analyst AML - Multiple positions LOCATION : Pune, India

Job Profile Summary WM CRF Review Team- AML Compliance The Senior Analyst will perform quality control reviews to support AML compliance services aligned with:

•AML Legislation/Regulation & Guidance/Best Practice •US AML Processes and procedures for US Wealth Management Clients and the associated products.

There is a requirement to hold, build and maintain a very strong relationship with the Northern Trust WM CRF Review Team in Chicago - USA to deliver a comprehensive KYC review to Northern Trust’s wealth management client base for banking and trust products.

PRIMARY RESPONSIBILITIES Takes responsibility for the timely and accurate completion of workload allocated Wealth Management documentation reviews. Actively participates in the review of wealth management documentation and information pursuant to onboarding & trigger events in adherence with Northern Trust’s AML processes and procedures. Works with colleagues and line management in reviewing such wealth management trust and banking documentation and efficiently highlighting due diligence documentation (if any) requiring update, due to inadequacy or aging by agreed modes of communication, with professionalism of approach and timely escalation of material issues arising. Escalates more complex problems and critical issues, to his/her line manager, including those received from other Northern Trust partners (including primarily the US WM CRF Review Team in Chicago). Works with colleagues and line management to ensure that all queries are dealt with efficiently and professionally. Takes responsibility for full review of client relationship form in the KYC system for individual wealth management clients that follow AML processes and procedures and provides regular, meaningful and accurate periodic updates to his/her line manager and colleagues in Pune and Chicago. Maintains strong working relationships with front office partners in the US and WM CRF Review Team in Chicago. Works with his/her line management and other colleagues to ensure that the CRF Review Team in Pune meet the required audit, risk and compliance standards as determined, from time to time, in accordance with advised changes in processes and procedures pursuant to amendments in guidance and best practice.

SKILLS/EXPERIENCE

2-4 years of experience Knowledge of trust and banking product documentation to verify required legal documents and associated information to meet internal policies and Ability to serve as a control point for client relationship form review following client onboarding/product opening. Strong organizational and communication skills. Documentation analysis and ability to research and understand KYC CRF requirements to identify exceptions. Knowledge of US Wealth Management business is ideal General knowledge of Microsoft Office applications relating to designated areas of responsibility.

ACCOUNTABILITIES The successful candidate is required to comply with the US AML Compliance and NT Lines of Business procedural AML process in which Northern Trust operates as appropriate to the above role. The successful candidate is expected to exercise due care and diligence, and ensure that the responsibilities of the role are organized and controlled within compliance and risk management. The successful candidate is required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of such duties.

INTERNAL KEY STAKEHOLDERS •US Wealth Management Client Relationship Form Review Team •US Front Office Partners •Northern Trust AML Compliance •BU Control •NT Risk

Eligibility for Internal partners Should have completed 1 year as Analyst II Lateral movement - should have completed 1 year in current role

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 MyHRHelp@ntrs.com , 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.