Corporate Due Diligence Executive managing client onboarding and compliance processes for fintech company. Conducting reviews, due diligence, and collaboration with legal and operations teams.
About the role
- Senior Compliance Manager leading wealth management compliance initiatives and risk evaluations at Key. Overseeing testing and monitoring for regulatory compliance and risk management strategies.
Responsibilities
- Lead and manage a team of wealth management and trust testing professionals and provide oversight of the independent second-line-of-defense approach to risk-based monitoring and evaluation activities, including risk assessment, monitoring and testing, analysis of findings, and reporting
- Provide oversight, guidance, and strategic direction to staff related to day-to-day responsibilities and engagement of line of business management and compliance partners in designing and executing compliance testing, special projects, and ongoing monitoring
- Demonstrate subject matter expertise in compliance testing and working knowledge of applicable wealth management and trust related regulations and laws, industry trends, emerging issues, and related banking products
- Utilize knowledge of data analysis tools and techniques to lead a team of compliance testing professionals in analyzing, quantifying, and/or assessing risks and to evaluate controls to identify potential weaknesses and/or control gaps
- Assist Compliance Director and Executive with the ongoing design, development, and implementation of the REA Program including the testing plan/schedule, testing methodology, ongoing monitoring, and strategic initiatives to ensure the Bank’s policies and procedures are consistent with applicable regulatory requirements and expectation and industry best practices
- Responsible for managing staff, providing ongoing coaching, and driving quality of work for the team while ensuring any issues or material breaches of applicable laws, rules, policies or standards with an actual or potential compliance risk impact are appropriately identified, escalated, remediated, and validated
- Maintain awareness of emerging issues, bank-wide initiatives, and industry trends to be forward thinking and innovative in executing testing engagements and ongoing monitoring to identify process and control improvement opportunities
- Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, internal audit, industry peers, and regulatory examiners
- Participate in special projects as assigned and assist in the development and on-going enhancement of the REA Program and compliance related procedures
- Actively identify and pursue training or continuing education opportunities to further develop overall knowledge of regulatory compliance, banking products and services, industry trends, and emerging risks.
Requirements
- Bachelor's degree
- Minimum 6 years of compliance, risk management, and/or audit experience with a strong focus on risks and controls and risk-based auditing and/or testing techniques; management experience preferred
- Demonstrated in-depth knowledge of wealth management products and services (e.g. – trust, private banking, securities/investment management) as well trust/fiduciary related compliance, operations, and risk management strategies with respect to applicable OCC regulatory expectations and pertinent regulations (e.g. – 12 CFR 9)
- Effective communication skills (verbal and written) to deliver results to a diverse audience
- Experience with data analysis tools and techniques including advanced concepts of Microsoft Word, Excel, and PowerPoint and/or other analytical software (e.g. – SAS, Tableau, ACL, etc.)
- Strong interpersonal and collaboration skills; ability to work well in a team environment
- High ethical standards, strong critical thinking, detective, analytical, and problem-solving skills
- Autonomous, self-motivated, and flexible with the ability to adapt quickly to change or shifting priorities in a fast-paced environment
- Experience working on projects or initiatives requiring strategic planning/thinking across multiple functional areas and business processes.
Benefits
- Incentive compensation subject to individual and company performance
- Short-term incentive compensation
- Deferred incentive compensation subject to individual and company performance
- Flexible options in circumstances where roles can be performed effectively in a mobile environment
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