CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The primary responsibility of this role is to provide support to the Regional Head of AML and the local MLROs in APAC as it relates to the AML and KYC/CDD functions. Other responsibilities include ensuring that timely and accurate periodic reviews and ensuring that there is sufficient and adequate monitoring and surveillance within each country. Acts as a direct liaison with internal client servicing partners, and potentially regulators and auditors. Provides support for the roll out of the Global AML Program in APAC, acting as a local liaison with corporate partners on behalf of the Regional Head. Provides consultation and advice to partners regarding the interpretation of AML policies and procedures and compliance and risk avoidance. Responsible for overseeing the review, interpretation, and dissemination of current and proposed laws and regulations, supporting local MLROs in the gap analysis if required. Acts as MLRO for Singapore Branch.
Provides consultation and advice to internal partners and stakeholders on the interpretation of AML policies and procedures, applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that impact their area
Support the country MLROs in completion of annual enterprise wide risk assessment process
Advises business partners, including senior management, on CDD/KYC programs and applicable laws, regulations, rules and standards, including necessary impact assessments
Review and makes recommendations as needed on enhanced due diligence cases
Identify and develop policies and/or procedures as regards situations that pose significant risk in order to minimize such risk
Acts as a key subject matter expert, or other resource, and provides guidance or functional knowledge to local MLROs and business unit partners, as required
In conjunction with Country MLROs, ensure applicable country policies and procedures are in line with local AML laws and regulations and global and regional AML minimum standards
Operates independently, displaying strong communication skills and good judgment
Participate in the formulation of AML training
Monitors, reviews, disseminates, interprets laws and regulations, and supports the local MLROs in any required gap analysis, including participation in the drafting of responses to regulator issued consultation papers
Undertakes investigations into any unusual transactions reported by staff, alerts from the AML monitoring solution, regulatory requests and any other external triggers; supports the local MLRO in drafting the appropriate Suspicious Transaction Report
Works with Compliance Testing in performing any needed control tests, including sample testing or the review of exception reports to ensure the AML Program, controls and processes are in line with expected Program standards
May have direct interaction with committees and/or Senior Management
Actively supports the rollout of the Global AML program in APAC, providing input to process changes which could result in greater operational efficiency
Excellent written and oral communication skills
Strong sense of accountability;
Proven analytical and problem solving skills
Ability to work as part of a team with minimal supervision
5-7 years of relevant work experience
Strong leadership and organizational skills
CAMS certification preferred
For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally. We serve the world's most-sophisticated clients - from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.
We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
As of March 31, 2017, Northern Trust Corporation had:
$121 billion in banking assets
$7.1 trillion in assets under custody
$8.9 trillion in assets under custody/administration