Compliance and Oversight Analyst Sr

Kansas City, KS - USA

Monthly Salary: $ 57760 - 124170

Posted on: 11 hours ago

Vacancies: 1 Vacancy

Job Summary

As aSeniorCompliance and Oversight Analystyou willassistin the execution of an effective Compliance and Oversight Program toassurePrivate Wealth Managementmaintainsthe required level of compliance set forth by the SEC.

This is a hybrid position working from home Fri. and working in the office Mon. Tues. Wed. & Thur.

How you will spend your time:

You will develop an understanding of the laws and regulations applicable to Private Wealth business strategies products services and processes.

You will provide suggestions to improve policies/procedures business practices and/or compliance related controls.

You will become a supportive resource for questions related to current policies and procedures.

You willassistinthe documentationand maintenance of the departments policies and procedures.

You will conduct quality control (QC) testing todetermineeffectiveness of business processes and adherence to policies procedures and regulatory requirements (First Line of Defense).

You willassistwith internal and external regulatory inquiries examinations and other compliance related audits.

You will develop and deliver training forline of businesscommunicatingpolicies and compliance requirements.

You willassistwith resolving escalated or complex issues.

You will execute the Code of Ethics program for Private Wealth Management associates.

You willbe responsible forprocessing regulatory filings.

You will review and approve thedepartmentsmarketing and advertising materials.

You will partner with Legal Corporate Compliance other lines of business and Leadership as needed.

Other duties as assigned.

Wereexcited to talk with you if:

You have working knowledge of the Investment Company Act of 1940 as well asSecuritiesAct of 1933SecuritiesExchange Act of 1934 and related rules regulations guidance.

Youdemonstrateproficiencyinidentifyingand assessing compliance risks and recommendingappropriate strategiesto mitigate risk foraRIA (Registered Investment Advisor).

You are proficient in documenting businesspoliciesand procedures.

Youdemonstrateexcellent written and verbal communication organizational problem solving and decision-making skills.

Youdemonstrateabilityto define problems collect dataestablishfacts and draw valid conclusions.

You have excellent time management skills and the ability to work independently.

You showproficiencyofMicrosoft Office Suite (Word Excel PowerPoint SharePoint).

You have the ability to adapt and work within multiple business support systems.

Compensation Range:

$57760.00 - $124170.00

The posted compensation range on this listing represents UMBs standard for this role but the actual compensation may vary by geographic location experience level and other job-related addition this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information

UMB offers competitive and varied benefits to eligible associates such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical dental vision and other insurance coverage; health savings flexible spending and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.

Are you ready to be part of something more
Youre more than a means to an enda way to help us meet the bottom line. UMB isnt comprised of workers but of people who care about their work one another and their community. Expect more than the status quo. At UMB you can expect more heart. Youll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing no matter what. And expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.

UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race color religion sex (including gender pregnancy sexual orientation and gender identity) national origin age disability military service veteran status genetic information or any other status protected by applicable federal state or local law. If you need accommodation for any part of the employment process because of a disability please send an e-mail to to let us know the nature of your request.

If you are a California resident please visit our Privacy Notice for California Job Candidates to understand how we collect and use your personal information when you apply for employment with UMB.

Required Experience:

Senior IC

This is a hybrid position working from home Fri. and working in the office Mon. Tues. Wed. & Thur.

How you will spend your time:

You will develop an understanding of the laws and regulations applicable to Private Wealth business strategies products services and processes.

You will provide suggestions to improve policies/procedures business practices and/or compliance related controls.

You will become a supportive resource for questions related to current policies and procedures.

You willassistinthe documentationand maintenance of the departments policies and procedures.

You will conduct quality control (QC) testing todetermineeffectiveness of business processes and adherence to policies procedures and regulatory requirements (First Line of Defense).

You willassistwith internal and external regulatory inquiries examinations and other compliance related audits.

You will develop and deliver training forline of businesscommunicatingpolicies and compliance requirements.

You willassistwith resolving escalated or complex issues.

You will execute the Code of Ethics program for Private Wealth Management associates.

You willbe responsible forprocessing regulatory filings.

You will review and approve thedepartmentsmarketing and advertising materials.

You will partner with Legal Corporate Compliance other lines of business and Leadership as needed.

Other duties as assigned.

Wereexcited to talk with you if:

You have working knowledge of the Investment Company Act of 1940 as well asSecuritiesAct of 1933SecuritiesExchange Act of 1934 and related rules regulations guidance.

Youdemonstrateproficiencyinidentifyingand assessing compliance risks and recommendingappropriate strategiesto mitigate risk foraRIA (Registered Investment Advisor).