Perform proactive focused reviews according to agreed priorities of end to end processes and / or clients and key risk areas to maintain quality levels & identify areas for enhancement
Review any region specific regulatory issues.
Make recommendations and control implementation by Business Unit.
Support in liaising with related central areas including Compliance and Operational Risk and local business Managers who deliver our services to clients
Work closely with local management to determine priorities and objectives for performing reviews.
Initiate quality related projects ensuring adequate business plans are created and signed off by all relevant business areas
Assist with periodic procedure reviews for existing processes, as well as those for new processes created by implementations and take-on activity.
Assist in data collection for audit-type visits including those from external Trustees and internal audit
Assist with the maintenance and testing of the Bangalore Business Continuity Plan, liaising with the regional business units being supported by Bangalore for Transfer of Work’ continuity planning.
Support in ensure the department complies with the requirements of any Training & Competence regulatory regime
Follow the goals and priorities based on the direction set for the section.Produce accurate management information reporting and analysis to deadline
Maintain effective communication channels at all levels
Track all review actions / reporting to Senior Management and plan effectively to meet the deadlines set.
Keep abreast of industry and regulatory developments that may impact the risk and quality of our service.
Assist in assessing operational readiness of the business unit’s ability to take on new clients, processes, or perform system migrations.
Ensure preventative controls are in place following procedure & process failures.
Ability to work on ad-hoc activities.
Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role
Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organized and controlled
Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties