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Investment Compliance Monitoring

 
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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


David Injoon Kim

David Injoon Kim

Head of Sales - Asia Pacific
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David Injoon Kim

David Injoon Kim

Head of Sales - Asia Pacific
 

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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© 2018 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 legal and regulatory information about our offices and legal entities, visit northerntrust.com/disclosures.

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.