Compliance Director Risk Assessment and Monitoring

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The Compliance Director Risk Assessment and Monitoring is a senior-level leader responsible for the development execution and continuous improvement of Keys Compliance Risk Assessment and Monitoring Programs. This position strengthens the organizations ability to effectively identify assess and report regulatory risks through the Compliance risk assessment and monitoring programs.

This individual will play a key role in the design and execution of second line Compliance Risk Assessment and Monitoring programs. The Director will collaborate with cross-functional teams executing on the risk assessment and monitoring programs remediate identified issues track corrective actions and report on progress. The preferred candidate should have leadership abilities knowledge of the regulatory environment and experience in managing compliance programs. Familiarity with risk management systems and tools for tracking reporting and managing compliance is also required. This position involves data analytics and communication skills for advocating changes and driving organizational initiatives.

This role is expected to promote an organizational culture that encourages acknowledgement and recognition of compliance risks and places a high priority on risk management. The role will report directly to the Compliance Executive who reports to the Chief Compliance Officer.

Risk Assessment Program Leadership

• Lead the design implementation and execution of the Compliance Risk Assessment Framework to ensure timely identification of compliance risks and effectiveness of controls.
• Develop and maintain risk assessment methodologies and framework used to evaluate potential compliance risk exposure across Key.
• Oversee the Compliance Risk Assessment Program through development implementation execution and reporting of results.
• Collaborate with stakeholders to execute Compliance Risk Assessments and report on results.
• Coordinate root-cause analysis and remediation plans; help drive remediation owners to closure and verify effectiveness of corrective actions.

Compliance Monitoring Program

• Oversee the development and execution of a risk-based compliance monitoring program.
• Develop and maintain the annual monitoring plan inclusive of quarterly reviews and committee reporting.
• Ensure monitoring activities are aligned with the organizations Compliance Risk Assessments and regulatory obligations.
• Collaborate with stakeholders to execute monitoring plan and report on results.
• Lead continuous improvement initiatives to enhance monitoring coverage automation data analytics and efficiency.

Reporting Analytics and Additional Responsibilities

• Leverage data analytics to enhance and streamline Compliance risk assessment and monitoring activities across Compliance Risk Management.
• Deliver regular reports and dashboards on compliance risk trends and monitoring results.
• Provide committee-level reporting and updates on the status and results of the Compliance Risk Assessment and Monitoring Programs.
• Serve as the point of contact for regulatory requests and audits ensuring timely and accurate reporting and compliance
• Provide training and guidance to lines of business and Compliance teams on risk assessment methodologies monitoring tools and compliance obligations.

• Bachelors degree in business or finance preferred or equivalent years of experience
• Advanced Degree Juris Doctorate or Risk Management certification(s) highly preferred.
• A minimum of 10 years of relevant compliance risk management or audit experience in the financial services industry.
• Demonstrated experience developing and leading compliance risk assessment and monitoring programs.
• Direct experience with Tableau Dashboards
• In-depth practical knowledge of internal controls risk assessments and compliance processes and applicable techniques for implementation of regulatory compliance requirements and compliance processes
• Exceptional analytical problem-solving and communication skills.
• Proven ability to influence and collaborate with senior leadership and cross-functional teams.
• Strong executive presence and self-confidence to make effective presentations at various levels within the organization.

• Skilled in presenting arguments with supporting data analysis and clearly explaining the reasoning behind decisions.
• Proficient in interpreting data analyzing risk trends and developing mitigation strategies based on data.

• Established history of integrity ethical decision-making and the ability to make swift independent decisions when necessary.
• Skilled in aligning business objectives with risk management strategies to drive organizational success.
• Data-driven mindset with the ability to leverage analytics to inform decision making and enhance program effectiveness.
• Robust project management capabilities and a commitment to ongoing enhancement of processes and practices.
• Open to embracing new responsibilities and adapting to the evolving needs of the Compliance Risk Function and business operations

COMPENSATION AND BENEFITS

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

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