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.
Review our Summary of Proposed Changes, highlighting the biggest proposed changes to DOL Form 5500.
Please also review the detailed Description of Proposed Changes, providing more information about the DOL’s proposal.
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.
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.
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.
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 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.