Compliance Officer â Wealth Management and Trust Testing
Compliance Officer â Wealth Management and Trust Testing
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$ 80000 - 100000
1 Vacancy
Job Description
Location:
4910 Tiedeman Road Brooklyn OhioAbout the Job
As part of Keys second line of defense Compliance Risk Management function the Risk Evaluation and Assurance Program (the REA Program) has the responsibility for evaluating Keys ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Keys lines of business products and functional activities. Individuals in this role assist in the design and execution of wealth management testing and continuous monitoring to evaluate Keys compliance with regulatory requirements and expectations. Individuals work both autonomously on assignments and in collaboration with other members of REA team on projects and testing. The ideal candidate has a functional knowledge of wealth management trust/fiduciary compliance laws and regulations risks and supporting operational processes experience in testing/auditing and a passion for continuous learning and challenging the status quo.
Essential Job Functions
Serve on a team of risk evaluation and assurance professionals working to provide an independent second-line-of-defense approach to risk-based monitoring and evaluation by focusing on current high impact wealth management and trust-related compliance and operational risks developing assessments and providing input over control effectiveness through formal reporting as well as monitoring remediation activities.
Work independently and with a team on risk-based monitoring and evaluation activities including risk assessment monitoring and testing analysis of findings and reporting to ensure effective sustainable risk management processes exist.
Demonstrate a working knowledge of wealth management and trust products services and related regulations and the applicability to risk management strategies including the scoping of risk evaluations monitoring and design of testing plans.
Utilize data analysis tools and techniques to analyze quantify and/or assess risks and to evaluate controls to identify potential weaknesses and/or control gaps.
Clearly document the results or conclusions for testing performed in concise management reports and provide heightened awareness around significant risks and proactive identification escalation and remediation of control weaknesses or gaps.
Review policies and procedures and associated compliance and risk programs to ensure consistency with current applicable banking and securities rules regulations and laws.
Develop and maintain strong collaborative relationships with mid to senior level management other internal clients and peers and internal audit.
Required Qualifications
Education/Background: Bachelors degree
Minimum 3 years of wealth management related (e.g. trust/fiduciary asset management private banking securities etc.) compliance risk management and/or internal or external audit experience with a strong focus on risks and controls.
Functional knowledge of wealth management products and services (e.g. trust private banking securities/investment management) as well as trust/fiduciary related compliance operations and risk management strategies with respect to the execution of testing against applicable OCC regulatory expectations and pertinent regulations (e.g. 12 CFR 9).
Demonstrated skill in effectively communicating (verbal and written) results to a diverse audience; ability to work with all levels of management with a focus on collaboration and relationship management.
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.
Preferred Qualifications
Currently maintains or is actively pursuing relevant professional and/or industry sponsored certifications in wealth management trust and/or fiduciary risk management and/or compliance (e.g. - CFIRS (Certified Fiduciary & Investment Risk Specialist)CTFA (Certified Trust and Fiduciary Advisor) or similar).
Prior wealth management and trust (e.g. - e.g. trust private banking securities/investment management) testing experience leveraging risk-based auditing techniques.
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.).
Experience working on projects or initiatives requiring strategic planning/thinking across multiple functional areas and business processes.
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $80000 to $100000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.
Please click here for a list of benefits for which this position is eligible.
Key has implemented a role-based Mobile by Design approach to our employee workspaces dedicating space to those whose roles require specific workspaces while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result this role may be Mobile or Home-based which means you may work primarily either at a home office or in a Key facility to perform your job duties.
Job Posting Expiration Date: 09/11/2025 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability or veteran status.Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing
#LI-Remote
Required Experience:
Unclear Seniority
Employment Type
Full-Time
