Investment Compliance Monitoring
Intuitive solutions to your expanding needs
Today, investment governance is under ever-greater regulatory scrutiny and transparency is paramount.
Understand the investment activities carried out on your behalf in real time. Avoid and identify breaches of your rules and quickly engage investment managers to resolve issues.
Powerful technology to monitor compliance with your investment guidelines
Using new and innovative technology, we have rebuilt our post-trade compliance platform, including the Compliance Analyst® monitoring system and the Compliance RADAR™ workflow tool, to deliver transparency and control across your investments quickly and intuitively. Monitor adherence to guidelines easily using quality data and powerful automation.
- Identify and correct issues before they become breaches
- Gain greater control by creating rules which accurately reflect your investment guidelines
- Resolve issues faster with intuitive tools that allow you to swiftly investigate what has happened
- Work together online with your team in real time, sharing notes and creating an audit trail
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David Injoon Kim |
David Injoon Kim
David I. Kim is the Head of Sales for Northern Trust’s corporate and institutional business in Asia Pacific.
Prior to joining Northern Trust, David was the service executive overseeing BNY Mellon’s clients across the corporate, not-for-profit, government and U.S. financial institution segments in the Americas.
David has over 22 years of custody services experience and has held positions in securities processing, trust accounting, relationship management and sales.
In addition to working in the USA, David spent a number of years based in Asia, including two years in Singapore and six years in Seoul where he was head of asset servicing for BNY Mellon, South Korea.
David holds an MBA from The Carroll School of Management at Boston College and a bachelor’s degree in finance and investments from Babson College.
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Chris Thomson |
Chris Thomson
Christopher Thomson is a Senior Sales Representative for Northern Trust’s Asset Servicing business based in the Melbourne Branch and is focused on sales and marketing of global custody and asset services.
He has over 25 years experience in the financial services industry working with Institutional clients in the Superannuation sector and with Investment management firms. His previous roles have included relationship sales, product development and investment operations.
Most recently he was a sales and relationship manager with JP Morgan Treasury Services in Australia and prior to that worked for firms including Goldman Sachs JBWere, JP Morgan Investment Management and State Street Australia.