Skip to content

Governance and Ethics

Governance

Our Approach

A committed management team with executive-level oversight exemplifies the strength and importance of our global Corporate Social Responsibility strategy.

 

Head of Corporate Social Responsibility

Connie L. Lindsey, Executive Vice President and Head of Corporate Social Responsibility and Global Diversity, Equity & Inclusion, is responsible for the design and execution of a comprehensive CSR strategy. Ms. Lindsey reports directly to Michael G. O’Grady, the President and Chief Executive Officer of Northern Trust Corporation (the “Corporation”).

 

Corporate governance committee of the Board of Directors

The Head of CSR periodically reports to the Corporate Governance Committee of the Corporation's Board of Directors about CSR related matters. 

 

Executive Corporate Social Responsibility Council

The Executive Corporate Social Responsibility consists of a global cross-section of 14+ employees from various business units and staff functions around the world. This group provides detailed input, analysis and recommendations for developing, monitoring and executing Northern Trust's global CSR strategy.

 

Ethics

We expect all employees to uphold our core values, exercise the highest ethical judgment and comply with the laws and regulations that govern our business. We expect employees to treat all information appropriately based on its classification. Breaches of highly sensitive client or business information may result in disciplinary action. All employees are required to take the following five courses annually: "Anti-Money Laundering (AML) & Economic Sanctions;' "Anti­-Bribery, Corruption and Fraud," "Global Privacy and Data Protection," "Information Security;' and "Standards of Conduct:' All employees are also required to certify their compliance with the Code of Business Conduct and Ethics. All certifications and training courses were completed by 100 percent of employees in 2019. Additionally, we provided employees within the Asia-Pacific (APAC) and Europe, Middle East and Africa (EMEA) regions with expanded AML, conduct and privacy training in accordance with the regulatory characteristics of those respective regions.