Zac Au

Zac Au currently serves as the Chief Compliance Officer at Northern Trust, where he plays a pivotal role in shaping the firm’s global compliance framework and ensuring adherence to complex regulatory standards across multiple jurisdictions. Leveraging his extensive background in enterprise risk management, Zac oversees a comprehensive compliance program that spans over 20 countries, integrating advanced AI-driven transaction monitoring systems such as Actimize to enhance fraud detection and anti-money laundering (AML) efforts. His expertise in FATCA, BEPS, and cross-departmental regulatory policy design enables Northern Trust to maintain a robust compliance posture while navigating the evolving landscape of financial regulations.

In his strategic leadership role, Zac spearheads initiatives to strengthen the firm’s risk mitigation strategies, ensuring that compliance processes are both effective and scalable. His focus on leveraging innovative AI compliance tools has significantly improved operational efficiency, reducing false positives and enabling more precise regulatory reporting. Zac’s deep understanding of federal and state tax filing requirements, coupled with his experience in IRS correspondence and sales tax support, allows him to oversee a seamless integration of tax compliance within the broader risk management framework.

Moreover, Zac actively promotes a culture of ethical conduct and audit readiness through targeted training programs and practical compliance tools. His ability to align regulatory policies with business objectives fosters a proactive approach to compliance, safeguarding the firm’s reputation and operational integrity. With a proven track record of cross-departmental leadership and risk-focused education, Zac Au continues to drive Northern Trust’s compliance excellence in an increasingly complex financial environment.