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 worlds 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 24000 partners we serve the worlds most sophisticated clients using leading technology and exceptional service.

KYC CoE Team Lead

Northern Trust is seeking a highly skilled and motivated professional to lead KYC Operations delivery within the First Line of Defence (1LOD) across the enterprise. This role sits within the AML/KYC organisation and is responsible for the effective execution of KYC activities across the KYC Centre of Excellence (CoE) ensuring highquality outcomes regulatory compliance and strong operational discipline.

The role reports into senior AML/KYC Operations leadership and plays a key role in ensuring KYC processes are executed efficiently risks are identified and managed and operational performance meets enterprise and regulatory expectations.

Role Overview

The KYC CoE Team Lead is accountable for the endtoend operational delivery of KYC activities within the KYC CoE. This includes oversight of Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD).

The role ensures KYC outputs are timely accurate and compliant while embedding strong firstline controls effective issue management and continuous improvement across KYC operations.

Key Responsibilities

- 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 transparent 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

Qualifications & Experience

- Strong knowledge of AML/KYC regulations customer due diligence requirements and operational KYC processes (ideally 5 years)

- 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 complex issues.

- College or university degree and / or equivalent relevant professional experience impact issues.

Eligibility - Internal Partners

- 24 Months as a Technical Coordinator /Associate Consultant to move as a Manager

- Movement within TL and Consultant Level will be 12 months

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 Trusts 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 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 3000 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 2024 they volunteered more than 10000 hours into the communities where they live and work. Learn more.

Required Experience:

Manager

📌 KYC Periodic Review Team Lead (Pune)
🏢 Northern Trust
📍 Pune