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Investment Compliance Services

 
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Efficient Compliance Solutions from a Trusted Independent Source

Gain confidence and avoid inefficient screening processes by using Northern Trust’s comprehensive post-trade monitoring tools that leverage our experience, global service infrastructure and advanced proprietary platform.

EXPERIENCE AND EXPERTISE

  • Benefit from our expert global consultant teams offering local support.
  • Leverage our flexible proprietary compliance monitoring platform, Compliance Analyst®, to best suit your needs.
  • Manage breaches and access exceptions based reporting with our flexible dashboard, ComplianceRADAR™, available on Northern Trust Passport.
  • Monitor limitless scenarios based on predefined guideline types across asset classes and countries.
  • Benefit from global multi-asset class coverage, customizable investment restrictions and regular monitoring on a post-trade, pre-settlement basis.
  • Integrated technology and direct accounting feeds provide timely and accurate analysis across performance, risk, and compliance services.
  • Leverage a cost-efficient compliance monitoring solution giving you the freedom to focus on your strategic goals.

COMPREHENSIVE RANGE OF INVESTMENT RESTRICTIONS

  • Exposure Monitoring
  • Cost and Market Value Monitoring
  • Index Relative Comparisons
  • Equity and Fixed Income Characteristics
  • Environmental, Social and Corporate Governance

Flexible service level options offer you solutions that best suit your investment management needs. Whether you elect to outsource the function entirely to Northern Trust or choose to retain your monitoring program in-house, we tailor our service models to meet your objectives.

Jon Dunham

Jon Dunham

Senior Vice President, Corporate and Institutional Services
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Jon Dunham

Jon Dunham

Senior Vice President, Corporate and Institutional Services
 

Jon Dunham is a Senior Vice President in the Corporate & Institutional Group at Northern Trust - Chicago. He joined Northern Trust in March 2008 as Head of North American Asset Servicing Sales for institutional clients.

Jon is responsible for managing a diverse institutional sales team located in Chicago, Boston, San Francisco, and Toronto, covering the public fund, Taft-Hartley, not-for-profit, large corporate, insurance, investment manager, multinational, and middle market segments. Jon's focus is solutions-based new business development. He is an industry veteran, with over 20 years' experience in client service and business and product development.

Prior to joining Northern Trust, Jon served in various executive and lead business development roles at Bank of New York Mellon Corporation. Most recently, he served as National Sales and Marketing Director for the asset servicing sector. Before that, Jon held several senior positions in market segment sales, new business development, and product management.

Jon attended the University of Pittsburgh and began his career in management and sales for a retail consumer goods firm. Jon currently participates on several national organizations that focus on the financial services industry.

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Northern Trust Corporation. Head Office: 50 South La Salle Street, Chicago, Illinois 60603 U.S.A. Incorporated with limited liability in the U.S. Products and services provided by subsidiaries of Northern Trust Corporation may vary in different markets and are offered in accordance with local regulation. For more information, read our legal and regulatory information about individual market offices.