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Regulatory Solutions

 
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Northern Trust delivers the expertise and support you need to stay ahead of regulatory change.  As regulations expand and compliance challenges grow, we’re here to help you stay compliant and focused on your business. 

Regulatory Expertise

Regulatory support is a dedicated function at Northern Trust, not an additional responsibility.  Our team focuses exclusively on regulatory matters, providing insight, guidance and services to help clients with their compliance needs.

Perspective Across Regulations and Jurisdictions

Our Regulatory Services team covers a range of institutional compliance matters and jurisdictions.  We take a holistic approach to managing your specific regulatory obligations, rather than placing experts in silos by sector or jurisdiction.

Comprehensive Regulatory Services

In addition to data, reporting and filing services, we focus on delivering the information you need to stay on top of regulatory change.

Through workshops, seminars, newsletters and commentary, we provide you with insights on both the challenges and opportunities in current and upcoming regulation.

To learn more about how Northern Trust can help keep you ahead of regulatory change, contact your Northern Trust representative or reach out to our regulatory experts.

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Serge Boccassini

Serge Boccassini

Senior Vice President, Global Institutional Product Management and Marketing Group
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Serge Boccassini

Serge Boccassini

Senior Vice President, Global Institutional Product Management and Marketing Group
 

Serge is a Senior Vice President of Northern Trust's Global Institutional Product Management and Marketing Group. In his current role, Serge's group is responsible for the research, identification and development of new products and global market footprint expansion from inception through rollout to the end user. The users represent all segments of Northern Trust's Institutional Trust, Custody and Banking client base and internal partners that utilize enhanced products or applications.

Prior to his current role, Serge was principal and director of product development at Northern Trust Retirement Consulting, L.L.C., supporting the firm's commitment to institutional retirement services. Prior to joining Northern Trust, Serge was an assistant vice president in the MetLife Defined Contribution Group. In that role, he managed all aspects of product and process development and enhancements, SEC and NASD compliance, as well as a member of the operational review team for major retirement business mergers and acquisitions.

Annie Westmoreland Wood

Annie Westmoreland Wood

Second Vice President, Regulatory Communications Manager
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Annie Westmoreland Wood

Annie Westmoreland Wood

Second Vice President, Regulatory Communications Manager
 

Annie Westmoreland Wood is a second vice president and regulatory communications manager at Northern Trust. In this role, she is responsible for internal and external communication surrounding North American regulations and accounting guidance within the financial services industry. Annie also serves as the editor of the North America Regulatory and Accounting Guidance Developments newsletter that is distributed to more than 10,000 external clients.

Annie joined Northern Trust in August 2015. Prior to her current role, she served as vice president and corporate communications manager for a Texas-based financial services institution.

Her professional experience includes public relations, internal and external corporate communications, strategic planning and development, media relations, crisis communication, and corporate citizenship.

Robert Angel

Robert Angel

Head of Regulatory Services, Product Solutions Group, EMEA
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Robert Angel

Robert Angel

Head of Regulatory Services, Product Solutions Group, EMEA
 
Robert joined Northern Trust in September 2013 as head of Regulatory Services, Product Solutions Group, EMEA. The Regulatory Services team acts as a consolidated point of contact on our portfolio of regulatory projects, with responsibility for regulatory client communication, and the services and products that Northern Trust can offer our clients in the regulatory space.
 
Prior to joining Northern Trust, Robert spent over 16 years at Merrill Lynch (now Bank of America Merrill Lynch) in Prime Brokerage and during this time ran the hedge fund client service, client consulting, product development and client on-boarding teams.
For more information on our Regulatory Solutions, please provide your contact information.

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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.

This material is directed to professional clients only and is not intended for retail clients. For Asia-Pacific markets, it is directed to institutional investors, expert investors and professional investors only and should not be relied upon by retail investors.