Wealth Management Compliance and Oversight Sr. Analyst
Compliance Specialist Job At UMB Bank
As the Senior Compliance and Oversight Analyst, you will assist in the execution of an effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. This is a hybrid position, working from home Mon. & Fri., and working in the office Tues., Wed. & Thur.
How you will spend your time:
* Develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes.
* Provide suggestions to improve policies/procedures, business practices, and/or compliance related controls.
* Become a supportive resource for questions related to current policies and procedures.
* Assist in the documentation and maintenance of the department's policies and procedures.
* Conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense).
* Assist with internal and external regulatory inquiries, examinations, and other compliance related audits.
* Develop and deliver training for line of business, communicating policies and compliance requirements.
* Assist with resolving escalated or complex issues.
* Execute the Code of Ethics program for Private Wealth Management associates.
* Responsible for processing regulatory filings.
* Reviews and approve the departments marketing and advertising materials.
* Partner with Legal, Corporate Compliance, other lines of business and Leadership as needed.
* Other duties as assigned.
We're excited to talk with you if:
* You possess a bachelor's degree in relevant field or combination of education and experience that provides an equivalent background.
* You have 5+ years of applicable experience within Financial Services.
* You have regulatory compliance experience with a Registered Investment Advisory Firm.
* You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
* You demonstrate proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor).
* You have proficiency in documenting business policies, and procedures.
* You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills.
* You demonstrate ability to define problems, collect data, establish facts, and draw valid conclusions.
* You show excellent time management skills and the ability to work independently.
* You are proficient in the Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).
* You have the ability to adapt and work within multiple business support systems.
Bonus points if:
* You have 1st and/or 2nd Line of Defense experience in risk management.
* You understand policy, framework and procedure development.
* You have managed and/or developed a risk program.
* You have an understanding of RIA risk frameworks and concepts.
* You have 2+ years' experience in Risk Management.
* You have 2+ years working with external regulators.
* You have specific knowledge regarding wealth management services and financial planning.
* You show proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, MCO, Black Diamond and/or Salesforce.
* You have used software tools for business process mapping, analysis, and re-engineering.
Compensation Range:
$57,760.00 - $124,170.00
The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In 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?
You're more than a means to an end-a way to help us meet the bottom line. UMB isn't 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. You'll 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.
Compliance Consultant - Compliance Marketing & ICP Reviews (Remote)
Remote
Responsible for reviewing and opining on marketing materials and incentive compensation plans (ICP) from a regulatory perspective and providing feedback and formal compliance approval as necessary. Provide guidance and support as it relates to the company's marketing and ICP functions to ensure adherence to related laws, regulations as well as bank policies and procedures.
Primary Responsibilities:
Identify and assess compliance risk on marketing materials from all business lines submitted for review and approval; meet established SLAs
Responsible for assisting with the continued development of a robust marketing review compliance program, to include regulatory change management, business unit monitoring and build-out of business line controls
Assist with development of policies, standards and procedures designed to achieve compliance with applicable marketing requirements and standards; may also include the review and approval of policies/procedures across various marketing areas to facilitate consistent development and documentation of the same
Maintain a working knowledge and understanding of laws, rules, and industry trends, which the business and/or Compliance Risk Management (CRM) must comply and an awareness of issues of recent regulatory focus
Provide day-to-day compliance support to include researching regulatory issues, documenting analysis, and responding in a consistent and timely manner to compliance questions
Monitor business activities to identify the potential exposure of regulatory risks, and work with the marketing areas and other support functions to implement measures to prevent, eliminate, manage, or mitigate those risks
Collaborate with business units to create action plans to remediate gaps and track the status of action plans
Identify, measure, and escalate compliance risk issues to the Compliance Manager and/or the LOBs as necessary
Understand and adhere to the company's risk and regulatory policies, standards, and controls in accordance with the Board-approved risk appetite. Identify risk-related issues needing escalation to management
Promote an environment that supports diversity and reflects the M&T Bank brand
Complete other related duties as assigned
Specific to Posting:
This position works under minimal supervision of the Compliance Manager and is required to exercise independent judgment and discretion.
Working knowledge of marketing-related banking laws, regulations, and industry guidance
Responsible banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP), Home Mortgage Disclosure Act, etc.
- Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
- Core banking: Deposit and lending laws and regulations (B, D, E, H, X, Z, etc.) and regulatory guidance
- Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, and TCPA, etc.
Education and Experience Required:
Bachelor's Degree in related field
6 years' experience in compliance, legal, audit or other relevant function,
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk, or other relevant function
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $71,985.72 - $119,976.20 Annual (USD). The successful candidate's particular combination of knowledge, skills, and experience will inform their specific compensation. The range listed above corresponds to our national pay range for this role. The specific pay range applicable to you may vary based on your location.LocationClanton, Alabama, United States of America
Senior Compliance Testing Analyst - Issue Validation (Remote)
Remote
The Senior Compliance Testing Analyst - Issue Validation Role is responsible leading and executing compliance issue validations utilizing a risk-based approach in line with department standards to ensure the Bank's compliance with applicable laws, rules & regulations. They will work with first and second line risk partners to ensure validation closing packages align with program expectations and perform independent testing to ensure the identified risks have been appropriately mitigated. The role will primarily support the Bank's lending portfolios including Mortgage, Consumer, Commercial and Business Bank, but may occasionally support other portfolios. The incumbent may also represent the compliance testing team on compliance risk management projects related to issues management, as needed.
Position Responsibilities:
Interface with all layers of the organization predominantly independently to obtain information related to processes and controls.
Perform compliance testing in accordance with department and professional standards.
Specific compliance testing responsibilities include the planning and execution of control and substantive testing, assistance in the review of testing, and evaluating results to determine if control weaknesses or testing exceptions exist.
Organize and complete work within established timeframes predominantly independently, periodically providing updates of completion status to management.
Draft validation result memo, substantive testing findings and control execution weaknesses under the direction of a Manager.
Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.
Review validation results and test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Compliance Testing Manager regarding the appropriate tier rating of identified issues.
Work with business units and compliance groups to ensure consistent understanding of requirements.
Responsibilities may also include system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer).
Review work papers of team members and provide related feedback, coaching, and mentoring.
Build a working relationship with line-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers.
Encourage integrated testing approaches with the data & systems team, and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures.
Serve as knowledge resource for team members.
Maintain a strong working knowledge of regulatory requirements to perform and ensure an appropriate level of testing.
Assess business unit process and controls under minimal direction or independently, and provide risk focused input on effectiveness and efficiency of testing approach.
Independently document and assess all levels of test scripts.
Participate in special projects and department wide initiatives, as necessary.
Multitask assignments and meet established deadlines.
Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.
Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the Company's Risk Appetite. Identify risk-related findings needing escalation to a Manager.
Promote an environment that supports diversity and reflects the M&T Bank brand.
Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
Complete other related duties as assigned.
Nature and Scope:
The position works under the direction of the Compliance Testing Manager/Advisor and is required to exercise independent judgment and discretion utilizing a risk based approach.
The position collaborates extensively with (a) Corporate Compliance subject matter deputies to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff and PCMs to understand work flows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods.
The position may interact with external contacts including Bank Supervisors/Examiners and peers at other institutions.
Supervisory Responsibilities:
May provide training or coaching opportunities for junior analysts.
Education/Experience Required:
Bachelor's degree preferably in Accounting, Business, Finance, Mathematics, Statistics or other related field in a business related curriculum and a minimum of 4 years' relevant work experience (Compliance, Audit, Business, Finance, Technology, Computer Science, or Risk Management), OR, in lieu of a degree a combined minimum of 8 years' higher education and/or work experience including 4 years' relevant work experience.
Demonstrated coaching experience.
Ability to read and understand laws, regulations, and common law applicable to subject matter.
Demonstrated ability to design and create testing scripts and evaluate control environments
Ability to exercise judgment and sound discretion, and understand when Corporate Compliance Management guidance is needed.
Ability to thrive in a collaborative, team-oriented environment.
Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to line level management.
Strong organizational, analytical and critical thinking skills.
Strong proficiency with personal computers as well as pertinent software packages.
Ability to work autonomously
Experience testing/auditing one or more of the following business lines: Mortgage, Consumer and/or Commercial Lending
Education/Experience Preferred:
Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar certification)
MBA or Master's Degree in an appropriate field.
Comprehensive understanding of financial services functions
Some familiarity with, and the ability to quickly learn, the organizations, operations, systems, and practices of assigned business units within M&T Bank Corporation.
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $71,985.72 - $119,976.20 Annual (USD). The successful candidate's particular combination of knowledge, skills, and experience will inform their specific compensation. The range listed above corresponds to our national pay range for this role. The specific pay range applicable to you may vary based on your location.LocationClanton, Alabama, United States of America
Compliance Consultant - Compliance Marketing & ICP Reviews (Remote)
Clanton, AL Jobs
Responsible for reviewing and opining on marketing materials and incentive compensation plans (ICP) from a regulatory perspective and providing feedback and formal compliance approval as necessary. Provide guidance and support as it relates to the company's marketing and ICP functions to ensure adherence to related laws, regulations as well as bank policies and procedures.
**Primary Responsibilities:**
+ Identify and assess compliance risk on marketing materials from all business lines submitted for review and approval; meet established SLAs
+ Responsible for assisting with the continued development of a robust marketing review compliance program, to include regulatory change management, business unit monitoring and build-out of business line controls
+ Assist with development of policies, standards and procedures designed to achieve compliance with applicable marketing requirements and standards; may also include the review and approval of policies/procedures across various marketing areas to facilitate consistent development and documentation of the same
+ Maintain a working knowledge and understanding of laws, rules, and industry trends, which the business and/or Compliance Risk Management (CRM) must comply and an awareness of issues of recent regulatory focus
+ Provide day-to-day compliance support to include researching regulatory issues, documenting analysis, and responding in a consistent and timely manner to compliance questions
+ Monitor business activities to identify the potential exposure of regulatory risks, and work with the marketing areas and other support functions to implement measures to prevent, eliminate, manage, or mitigate those risks
+ Collaborate with business units to create action plans to remediate gaps and track the status of action plans
+ Identify, measure, and escalate compliance risk issues to the Compliance Manager and/or the LOBs as necessary
+ Understand and adhere to the company's risk and regulatory policies, standards, and controls in accordance with the Board-approved risk appetite. Identify risk-related issues needing escalation to management
+ Promote an environment that supports diversity and reflects the M&T Bank brand
+ Complete other related duties as assigned
**Specific to Posting:**
+ This position works under minimal supervision of the Compliance Manager and is required to exercise independent judgment and discretion.
+ Working knowledge of marketing-related banking laws, regulations, and industry guidance
+ Responsible banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP), Home Mortgage Disclosure Act, etc.
+ - Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
+ - Core banking: Deposit and lending laws and regulations (B, D, E, H, X, Z, etc.) and regulatory guidance
+ - Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, and TCPA, etc.
**Education and Experience Required:**
Bachelor's Degree in related field
6 years' experience in compliance, legal, audit or other relevant function,
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk, or other relevant function
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $71,985.72 - $119,976.20 Annual (USD). The successful candidate's particular combination of knowledge, skills, and experience will inform their specific compensation. The range listed above corresponds to our national pay range for this role. The specific pay range applicable to you may vary based on your location.
**Location**
Clanton, Alabama, United States of America
M&T Bank Corporation is an Equal Opportunity/Affirmative Action Employer, including disabilities and veterans.
Senior Compliance Manager - BSA/AML and Fraud Testing
Remote
As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the “REA Program”) has the responsibility for evaluating Key's ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and functional activities. Individuals lead the design and execution of testing and continuous monitoring to evaluate Key's compliance with regulatory requirements. The Senior Compliance Manager must have a strong understanding of audit and/or testing concepts and apply those to testing, monitoring, issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership, initiative, and agility as well as a passion for continuous learning and challenging the status quo. The ideal candidate will have experience managing a team of testing or compliance professionals, strong knowledge of BSA/AML and Fraud related compliance regulations and supporting operational processes, and be skilled at developing, executing, and overseeing testing and monitoring activities. This role requires the ability to demonstrate leadership across various lines of business and proactively and productively coordinate with other groups within Key including the lines of business, other risk management teams and internal audit.
Essential Job Functions
Lead in the development, management, and strategic direction of a team of BSA/AML and Fraud compliance testing professionals to perform 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 subject matter expertise in BSA/AML and Fraud testing and working knowledge of applicable Anti-Money Laundering/Bank Secrecy Act (AML/BSA) and Fraud-related regulations and laws, operations, industry trends, emerging issues, and the applicability to risk management strategies for the scoping of risk evaluations, monitoring, and design of testing plans.
Utilize knowledge of data analysis tools and techniques in analyzing, quantifying, and/or assessing risks and to evaluate controls to identify potential weaknesses and/or control gaps related to BSA/AML and Fraud processes.
Assist Compliance Executive with the ongoing design, development, and implementation of the REA Program related to BSA/AML and Fraud testing including an annual testing plan, testing methodology, ongoing monitoring, and strategic initiatives to ensure the Bank's policies and procedures are consistent with applicable regulatory requirements and 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.
Required Qualifications
Education/Background: Bachelor's degree,
Minimum 6+ years of BSA/AML and/or Fraud 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.
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $120,000 to $145,000 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: 03/03/2025
KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.
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 HR_**********************.
#LI-Remote
Compliance Officer - Consumer Default Management
Remote
JOB BRIEF
The Compliance Officer will be a member of the Consumer Default Management team within Compliance Risk Management and have significant responsibility to ensure that regulatory, compliance, or reputation risks are appropriately mitigated to remain within KeyCorp's desired risk appetite. The Compliance Officer is responsible for oversight of consumer default compliance-related activities including providing highly specialized guidance on current and emerging regulatory risks, reviewing and challenging strategy (initiative, products, third parties, clients), control design, exam management, execution of business processes, and any findings or corrective action plans. This position will report to the Compliance Director and is responsible for ensuring compliance risk, controls, processes and all related activities within designated lines of business comply with regulatory requirements and Key's Risk Management policies and program requirements.
ESSENTIAL JOB FUNCTIONS
For assigned lines of business and/or regulations, serve as the compliance subject matter expert.
Partner with other members in the second line of defense and designated lines of business to identify risks, develop and execute assessments, provide guidance on control and testing design and execution, and advise on and monitor findings and associated remediation activities.
Actively participate in assigned business initiatives (i.e., new product development, revised processes or systems, development and/or oversight of consumer facing notices and disclosures) and projects to ensure that related regulatory obligations are appropriately addressed.
Lead a strong and effective collaborative culture, responsible for partnering with various risk disciplines, and working closely with assigned project teams, risk partners, legal and multiple lines of business.
Assist the line of business with regulatory compliance exams.
Proactively engage with partners within the first line of defense to promote understanding of complex regulatory concepts and associated compliance risks.
Assist in or lead the development and maintenance of effective compliance policies, procedures and processes.
Accountable for oversight of line of business activities to determine compliance with applicable compliance rules, regulations and laws.
Research, interpret and assist in applying laws, regulations and regulatory guidance to relevant business processes.
Assist in the identification of training opportunities and course development.
Address regulatory actions and other regulatory communications, following up and monitoring until satisfactory resolution is obtained.
Participate in or lead the monitoring of compliance programs and targeted testing, particularly with new regulatory requirements or system changes; assist with the development of appropriate corrective action to ensure adherence to applicable laws and regulations.
Develop and maintain collaborative working relationships with internal staff, peers, and senior management.
Maintain relationships with industry peers and regulatory bodies to validate KeyCorp practices and develop recommended changes as appropriate.
Identify, respond to and/or escalate risks as appropriate.
REQUIRED QUALIFICATIONS
Bachelor's degree required; Master's degree in Business, Juris Doctorate or CRCM preferred.
3-5 years of experience as a financial services compliance professional, bank regulator or other comparable legal experience.
Demonstrative knowledge of RESPA, TILA, SCRA, FCRA, bankruptcy laws and other state-based consumer protection regulations. Sound decision-making skills; able to make decisions independently and quickly.
Extensive knowledge of consumer collections, bankruptcy, recovery and loss mitigation preferred.
In-depth practical knowledge of internal controls, risk assessments and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes.
Solid written and oral communication skills.
Sound understanding of compliance risks.
Strong research skills coupled with strong analytical and resourceful problem-solving skills.
Strong attention to detail.
Proven track record of integrity, strong ethics and judgment.
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $90,000 to $120,000 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: 02/27/2025
KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.
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 HR_**********************.
#LI-Remote
Sr. Mutual Fund Board Compliance Analyst
Scottsdale, AZ Jobs
Together we fight for everyone's opportunity for a better financial future.
We will do this together - with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone's access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today.
Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with - and those we acquire throughout our lives - are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision.
Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage -
Get to Know the Opportunity:
Performing a wide range of general support duties on behalf of the Office of the Fund Chief Compliance Officer (“CCO”), including Policy Review & Testing in support of the Mutual Fund Chief Compliance Officer's annual SEC Rule 38a-1 Report
Please Note:
Work location for this role is FLEXIBLE! This position allows 100% remote work from home or allows work to be performed in any of our major office locations with a hybrid schedule.
The Contributions You'll Make:
Coordinate aspects of service provider due diligence meetings, including scheduling, travel and communications
Organize and review materials from service providers to compile documentation for due diligence meetings
Contribute to writing memoranda and other reports for inclusion in Board materials, writing minutes for committee meetings
Schedule and conduct interviews with internal departments
Conduct Rule 38a-1 testing and maintain test documentation and deliverables
Draft written memoranda containing results of Rule 38a-1 testing for inclusion in quarterly Board materials
Track legal, regulatory, compliance, and business-related news stories; write service provider industry and regulatory updates report for inclusion in quarterly Board materials
Assist with certain governance aspects of the compliance program
Conduct research and analyze compliance trends, summarizing legal, regulatory, and compliance topics
Work with the team to understand compliance risks as well as new and changing regulatory matters, including assessing the impact to the Funds (based on knowledge of products, services, and processes) and communicating requirements to the team
Create high quality reports, develop presentations, and build spreadsheets/databases
Manage planning and execution of special projects or events as needed
Responsible for understanding and complying with firm policies and procedures while performing the role outlined above
Administrative tasks as needed
Minimum Knowledge and Experience:
Bachelor's degree
Minimum five years of mutual fund compliance or other relevant professional experience in audit, compliance, or legal
Strong demonstrated analytical skills
Proficient memo writing skills
Demonstrated ability to identify potential risks or issues
Proactively asks questions displaying an intellectual curiosity
Ability to build relationships
Self-starter, independently motivated but able to work well in a small team environment
Strong commitment and work ethic
Ability to problem solve under pressure
Superior teamwork and interpersonal skills; collaborative and professional demeanor
Ability to perform self-directed, multi-faceted work
Demonstrates prioritization and organizational skills with impeccable attention to detail and ability to handle multiple priorities simultaneously
Flexibility and ability to tolerate ambiguity and change
Strong computer proficiency in Microsoft Outlook, Word, Excel, PowerPoint and Teams
Preferred Knowledge and Experience:
Experience with DiligenceVault technology system
#LI-SS1 #LI-Remote
Compensation Pay Disclosure:
Voya is committed to pay that's fair and equitable, which means comparable pay for comparable roles and responsibilities.
The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting.
Actual compensation offered may vary from the posted salary range based upon the candidate's geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
$68,000 - $85,000 USD
Be Well. Stay Well.
Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That's why we offer an array of plans, programs, tools and resources with one goal in mind: To help you and your family be well and stay well.
What We Offer
Health, dental, vision and life insurance plans
401(k) Savings plan - with generous company matching contributions (up to 6%)
Voya Retirement Plan - employer paid cash balance retirement plan (4%)
Tuition reimbursement up to $5,250/year
Paid time off - including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
Paid volunteer time - 40 hours per calendar year
Learn more about
Voya benefits (download PDF)
Critical Skills
At Voya, we have identified the following critical skills which are key to success in our culture:
Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
Team Mentality: Partnering effectively to drive our culture and execute on our common goals.
Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions.
Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
Learn more about Critical Skills
Equal Employment Opportunity
Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.
Reasonable Accommodations
Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference
resources for applicants with disabilities.
Misuse of Voya's name in fraud schemes
Compliance Associate, Regulatory Intelligence
Remote
About the Job
This position is in the Regulatory Intelligence Compliance Team within Compliance Risk Management. The position is responsible for identifying, summarizing, and consulting on current and emerging legal and regulatory compliance requirements as they relate to all products, services, business processes, and lines of business across Key. The position will also be responsible for performing regulatory research and analysis on applicable topics potentially impacting the organization. The qualified candidate must be able to work both independently and as part of a team, adhere to schedules, meet deadlines in a limited timeframe, multi-task, and use sound judgment taking into consideration compliance risk tolerances of KeyCorp.
Essential Functions
- Identify new or modified rules, regulations, and laws applicable to the financial services industry.
- Review Artificial Intelligence (AI) and Generative AI outputs for their soundness and accuracy in summarizing regulatory changes.
- Collaborate with Subject Matter Expert(s) in providing research and analysis of new or modified regulatory requirements.
- Track regulatory changes and analysis in the Governance, Risk and Compliance system.
- Engage with risk partners to ensure required remediation plans are appropriately implemented, and that the status of the plans is accurate.
- Provide sound judgment and decision-making in analyzing and escalating.
- Assist with maintaining internal policies and procedures including updating and drafting training materials as needed and supporting and leading ad hoc projects.
- Effectively partner and establish trusted relationships with risk, legal and business partners, as well as senior level management and others regarding corporate-wide compliance issues.
Required Qualifications
- Bachelor's degree in business, finance, legal or related field.
- Juris Doctorate and/or Certified Regulatory Compliance Manager (CRCM).
- 1-5 years of professional experience in the area of researching and analyzing statutory and regulatory requirements.
- Strong research, analytical and problem-solving skills.
- Excellent organization and time management abilities.
- Strong attention to detail and accuracy.
- Proven relationship building skills.
- Ability to comprehend compliance laws and regulations.
- High ethical standard and ability to maintain confidentiality.
- Demonstrated savvy in navigating organizational structures and communication channels and networks.
Preferred Qualifications
- 1-5 years' experience as either a financial services attorney, compliance professional, bank regulator or other comparable legal experience.
- Experience identifying and summarizing regulatory changes with respect to the financial services industry.
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $60,000 to $80,000 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: 02/28/2025
KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.
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 HR_**********************.
#LI-Remote
Compliance Specialist - Sr
Columbus, OH Jobs
Responsible for developing and maintaining various aspects of the Compliance pillar framework including development, maintenance and oversight of the regulatory change process, review and monitoring of third-party relationships for compliance risk, maintaining and overseeing corporate compliance owned policies and operating procedures, assistance with Board and Management level reporting, performing Regulation O reporting and recordkeeping requirements and other program office related activities, as needed.
Major Areas of Accountability (Core)
* Manage communication of statutory and regulatory developments to appropriate business or support units across the Bank.
* Collaborate with other departments to research and monitor changes in the law and regulations at the federal, state and local level, including statutes, regulations and other regulatory guidance to ensure timely assessment and gap analysis by legal, compliance or other support staff regarding the impact on the Bank's products, services and businesses.
* Maintain and oversee the regulatory change management framework including procedures, guidelines, tools and templates for use by internal customer executing their projects. Strive for continuous improvement, streamlining and efficiencies in the process including enhanced design, monitoring and communication. Leveraging systems/automation to automate where possible.
* Responsible for monitoring for both new third party relationships, and for scheduled/existing third-party ongoing monitoring for compliance risk. Determine and notify appropriate Compliance SME of required assessment. Maintain and manage tracking of completed assessments and verification process.
* Establish and maintain a tracking calendar of the required review and completion of Corporate Compliance policies and procedures. Coordinate with Compliance SMEs and Legal on the timely review of the policy/procedure in a timely manner. Obtain policy approval from appropriate Compliance committee and provide a final version to Enterprise Policy & Governance by the due date. Communicate new and updated Compliance policies/procedures to compliance colleagues.
* Compile quarterly and annual reporting required by the FDIC Call Report and SEC Regulation S-X requirements. Responsible for maintenance of relationship indicators in the Bank's system of record, performing preferential reviews on consumer extensions, validating board approval and acknowledgment packets, and maintaining adequate documentation to evidence compliance with the Program.
* Responsible for confirming, on an as needed basis, the nature and extent of credit extensions to Insiders covered by Reg O, as well as applicable Related Interests. Coordinate annual Regulation O training requirements for Bank colleagues that includes an overview of Regulation O and its requirements and identifying Insiders and Related Interests the Bank's system of record.
* Assist the Director and/or Chief Compliance Officer with writing, editing, and in limited circumstances, presenting compliance material.
* Responsible for developing and maintaining procedures, guides and tools for areas of responsibilities within the Compliance Program Office.
Supervisory Responsibilities
* N/A
Basic Qualifications
* Bachelor's degree or equivalent work experience in the financial industry.
* 3 years of compliance risk management in the finance industry with Ability to organize and motivate peers across various business lines to execute against complex projects and defined timelines.
Preferred Qualifications:
* Research experience: ability to interpret laws and regulations and provide solutions
* Ability to multi-task and reprioritize tasks as needed.
* Project management skills. High degree of initiative and excellent organization skills.
* Detail oriented. Ability to problem solve and assess work priorities.
* Experience with supervisory compliance examination under CFPB, OCC, FFIEC, and FinCEN.
* Experience as a regulatory bank examiner, financial industry compliance professional, or consultant.
* In-depth knowledge of Federal and State consumer protection and public interest laws and regulations, supervisory compliance examination procedures, regulatory guidance and industry best practices.
* Excellent written and verbal communication skills. Strong interpersonal, collaboration and advocacy skills. Strong presentation skills.
* Ability to motivate peers and senior leaders and assess work priorities.
* Computer aptitude with emphasis on Microsoft Office applications.
* Experience leveraging data/systems to automate processes and bring efficiencies.
* Ability to identify process enhancements and efficiencies and redesign process accordingly without sacrificing quality of output.
* Knowledge of banking operations and bank technology.
#LI-MK2
#LI-HYBRID
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basi
Compliance Specialist - Sr
Columbus, OH Jobs
Responsible for developing and maintaining various aspects of the Compliance pillar framework including development, maintenance and oversight of the regulatory change process, review and monitoring of third-party relationships for compliance risk, maintaining and overseeing corporate compliance owned policies and operating procedures, assistance with Board and Management level reporting, performing Regulation O reporting and recordkeeping requirements and other program office related activities, as needed.
Major Areas of Accountability (Core)
· Manage communication of statutory and regulatory developments to appropriate business or support units across the Bank.
· Collaborate with other departments to research and monitor changes in the law and regulations at the federal, state and local level, including statutes, regulations and other regulatory guidance to ensure timely assessment and gap analysis by legal, compliance or other support staff regarding the impact on the Bank's products, services and businesses.
· Maintain and oversee the regulatory change management framework including procedures, guidelines, tools and templates for use by internal customer executing their projects. Strive for continuous improvement, streamlining and efficiencies in the process including enhanced design, monitoring and communication. Leveraging systems/automation to automate where possible.
· Responsible for monitoring for both new third party relationships, and for scheduled/existing third-party ongoing monitoring for compliance risk. Determine and notify appropriate Compliance SME of required assessment. Maintain and manage tracking of completed assessments and verification process.
· Establish and maintain a tracking calendar of the required review and completion of Corporate Compliance policies and procedures. Coordinate with Compliance SMEs and Legal on the timely review of the policy/procedure in a timely manner. Obtain policy approval from appropriate Compliance committee and provide a final version to Enterprise Policy & Governance by the due date. Communicate new and updated Compliance policies/procedures to compliance colleagues.
· Compile quarterly and annual reporting required by the FDIC Call Report and SEC Regulation S-X requirements. Responsible for maintenance of relationship indicators in the Bank's system of record, performing preferential reviews on consumer extensions, validating board approval and acknowledgment packets, and maintaining adequate documentation to evidence compliance with the Program.
· Responsible for confirming, on an as needed basis, the nature and extent of credit extensions to Insiders covered by Reg O, as well as applicable Related Interests. Coordinate annual Regulation O training requirements for Bank colleagues that includes an overview of Regulation O and its requirements and identifying Insiders and Related Interests the Bank's system of record.
· Assist the Director and/or Chief Compliance Officer with writing, editing, and in limited circumstances, presenting compliance material.
· Responsible for developing and maintaining procedures, guides and tools for areas of responsibilities within the Compliance Program Office.
Supervisory Responsibilities
· N/A
Basic Qualifications
· Bachelor's degree or equivalent work experience in the financial industry.
· 3 years of compliance risk management in the finance industry with Ability to organize and motivate peers across various business lines to execute against complex projects and defined timelines.
Preferred Qualifications:
· Research experience: ability to interpret laws and regulations and provide solutions
· Ability to multi-task and reprioritize tasks as needed.
· Project management skills. High degree of initiative and excellent organization skills.
· Detail oriented. Ability to problem solve and assess work priorities.
· Experience with supervisory compliance examination under CFPB, OCC, FFIEC, and FinCEN.
· Experience as a regulatory bank examiner, financial industry compliance professional, or consultant.
· In-depth knowledge of Federal and State consumer protection and public interest laws and regulations, supervisory compliance examination procedures, regulatory guidance and industry best practices.
· Excellent written and verbal communication skills. Strong interpersonal, collaboration and advocacy skills. Strong presentation skills.
· Ability to motivate peers and senior leaders and assess work priorities.
· Computer aptitude with emphasis on Microsoft Office applications.
· Experience leveraging data/systems to automate processes and bring efficiencies.
· Ability to identify process enhancements and efficiencies and redesign process accordingly without sacrificing quality of output.
· Knowledge of banking operations and bank technology.
#LI-MK2
#LI-HYBRID
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basi
Compliance Specialist - Sr
Columbus, OH Jobs
Responsible for developing and maintaining various aspects of the Compliance pillar framework including development, maintenance and oversight of the regulatory change process, review and monitoring of third-party relationships for compliance risk, maintaining and overseeing corporate compliance owned policies and operating procedures, assistance with Board and Management level reporting, performing Regulation O reporting and recordkeeping requirements and other program office related activities, as needed.
Major Areas of Accountability (Core)
· Manage communication of statutory and regulatory developments to appropriate business or support units across the Bank.
· Collaborate with other departments to research and monitor changes in the law and regulations at the federal, state and local level, including statutes, regulations and other regulatory guidance to ensure timely assessment and gap analysis by legal, compliance or other support staff regarding the impact on the Bank's products, services and businesses.
· Maintain and oversee the regulatory change management framework including procedures, guidelines, tools and templates for use by internal customer executing their projects. Strive for continuous improvement, streamlining and efficiencies in the process including enhanced design, monitoring and communication. Leveraging systems/automation to automate where possible.
· Responsible for monitoring for both new third party relationships, and for scheduled/existing third-party ongoing monitoring for compliance risk. Determine and notify appropriate Compliance SME of required assessment. Maintain and manage tracking of completed assessments and verification process.
· Establish and maintain a tracking calendar of the required review and completion of Corporate Compliance policies and procedures. Coordinate with Compliance SMEs and Legal on the timely review of the policy/procedure in a timely manner. Obtain policy approval from appropriate Compliance committee and provide a final version to Enterprise Policy & Governance by the due date. Communicate new and updated Compliance policies/procedures to compliance colleagues.
· Compile quarterly and annual reporting required by the FDIC Call Report and SEC Regulation S-X requirements. Responsible for maintenance of relationship indicators in the Bank's system of record, performing preferential reviews on consumer extensions, validating board approval and acknowledgment packets, and maintaining adequate documentation to evidence compliance with the Program.
· Responsible for confirming, on an as needed basis, the nature and extent of credit extensions to Insiders covered by Reg O, as well as applicable Related Interests. Coordinate annual Regulation O training requirements for Bank colleagues that includes an overview of Regulation O and its requirements and identifying Insiders and Related Interests the Bank's system of record.
· Assist the Director and/or Chief Compliance Officer with writing, editing, and in limited circumstances, presenting compliance material.
· Responsible for developing and maintaining procedures, guides and tools for areas of responsibilities within the Compliance Program Office.
Supervisory Responsibilities
· N/A
Basic Qualifications
· Bachelor's degree or equivalent work experience in the financial industry.
· 3 years of compliance risk management in the finance industry with Ability to organize and motivate peers across various business lines to execute against complex projects and defined timelines.
Preferred Qualifications:
· Research experience: ability to interpret laws and regulations and provide solutions
· Ability to multi-task and reprioritize tasks as needed.
· Project management skills. High degree of initiative and excellent organization skills.
· Detail oriented. Ability to problem solve and assess work priorities.
· Experience with supervisory compliance examination under CFPB, OCC, FFIEC, and FinCEN.
· Experience as a regulatory bank examiner, financial industry compliance professional, or consultant.
· In-depth knowledge of Federal and State consumer protection and public interest laws and regulations, supervisory compliance examination procedures, regulatory guidance and industry best practices.
· Excellent written and verbal communication skills. Strong interpersonal, collaboration and advocacy skills. Strong presentation skills.
· Ability to motivate peers and senior leaders and assess work priorities.
· Computer aptitude with emphasis on Microsoft Office applications.
· Experience leveraging data/systems to automate processes and bring efficiencies.
· Ability to identify process enhancements and efficiencies and redesign process accordingly without sacrificing quality of output.
· Knowledge of banking operations and bank technology.
#LI-MK2
#LI-HYBRID
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basi
Compliance Specialist - Sr
Columbus, OH Jobs
Responsible for developing and maintaining various aspects of the Compliance pillar framework including development, maintenance and oversight of the regulatory change process, review and monitoring of third-party relationships for compliance risk, maintaining and overseeing corporate compliance owned policies and operating procedures, assistance with Board and Management level reporting, performing Regulation O reporting and recordkeeping requirements and other program office related activities, as needed.
Major Areas of Accountability (Core)
· Manage communication of statutory and regulatory developments to appropriate business or support units across the Bank.
· Collaborate with other departments to research and monitor changes in the law and regulations at the federal, state and local level, including statutes, regulations and other regulatory guidance to ensure timely assessment and gap analysis by legal, compliance or other support staff regarding the impact on the Bank's products, services and businesses.
· Maintain and oversee the regulatory change management framework including procedures, guidelines, tools and templates for use by internal customer executing their projects. Strive for continuous improvement, streamlining and efficiencies in the process including enhanced design, monitoring and communication. Leveraging systems/automation to automate where possible.
· Responsible for monitoring for both new third party relationships, and for scheduled/existing third-party ongoing monitoring for compliance risk. Determine and notify appropriate Compliance SME of required assessment. Maintain and manage tracking of completed assessments and verification process.
· Establish and maintain a tracking calendar of the required review and completion of Corporate Compliance policies and procedures. Coordinate with Compliance SMEs and Legal on the timely review of the policy/procedure in a timely manner. Obtain policy approval from appropriate Compliance committee and provide a final version to Enterprise Policy & Governance by the due date. Communicate new and updated Compliance policies/procedures to compliance colleagues.
· Compile quarterly and annual reporting required by the FDIC Call Report and SEC Regulation S-X requirements. Responsible for maintenance of relationship indicators in the Bank's system of record, performing preferential reviews on consumer extensions, validating board approval and acknowledgment packets, and maintaining adequate documentation to evidence compliance with the Program.
· Responsible for confirming, on an as needed basis, the nature and extent of credit extensions to Insiders covered by Reg O, as well as applicable Related Interests. Coordinate annual Regulation O training requirements for Bank colleagues that includes an overview of Regulation O and its requirements and identifying Insiders and Related Interests the Bank's system of record.
· Assist the Director and/or Chief Compliance Officer with writing, editing, and in limited circumstances, presenting compliance material.
· Responsible for developing and maintaining procedures, guides and tools for areas of responsibilities within the Compliance Program Office.
Supervisory Responsibilities
· N/A
Basic Qualifications
· Bachelor's degree or equivalent work experience in the financial industry.
· 3 years of compliance risk management in the finance industry with Ability to organize and motivate peers across various business lines to execute against complex projects and defined timelines.
Preferred Qualifications:
· Research experience: ability to interpret laws and regulations and provide solutions
· Ability to multi-task and reprioritize tasks as needed.
· Project management skills. High degree of initiative and excellent organization skills.
· Detail oriented. Ability to problem solve and assess work priorities.
· Experience with supervisory compliance examination under CFPB, OCC, FFIEC, and FinCEN.
· Experience as a regulatory bank examiner, financial industry compliance professional, or consultant.
· In-depth knowledge of Federal and State consumer protection and public interest laws and regulations, supervisory compliance examination procedures, regulatory guidance and industry best practices.
· Excellent written and verbal communication skills. Strong interpersonal, collaboration and advocacy skills. Strong presentation skills.
· Ability to motivate peers and senior leaders and assess work priorities.
· Computer aptitude with emphasis on Microsoft Office applications.
· Experience leveraging data/systems to automate processes and bring efficiencies.
· Ability to identify process enhancements and efficiencies and redesign process accordingly without sacrificing quality of output.
· Knowledge of banking operations and bank technology.
#LI-MK2
#LI-HYBRID
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basi
Control Room Compliance Specialist - Senior
Minnetonka, MN Jobs
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington's Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management's attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
+ Bachelors Degree
+ 3 or more years' experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
+ Strong technical background with the ability to manage cloud based applications used to support Control Room functions
+ Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
+ General knowledge of Control Room purpose and functions.
+ FINRA series 7 and 24 licensure is strongly encouraged.
+ Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
+ Strong problem-solving skills.
+ Self-starter with the ability to meet or exceed deadline expectations.
+ Excellent organizational, written, verbal, and presentation skills.
+ Ability to influence and work effectively and cross-functionally within Huntington's business segments.
+ Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
+ Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Compensation Range:
$75,000- $85,000 annual salary
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis.
Control Room Compliance Specialist - Senior
Charlotte, NC Jobs
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington's Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management's attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
+ Bachelors Degree
+ 3 or more years' experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
+ Strong technical background with the ability to manage cloud based applications used to support Control Room functions
+ Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
+ General knowledge of Control Room purpose and functions.
+ FINRA series 7 and 24 licensure is strongly encouraged.
+ Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
+ Strong problem-solving skills.
+ Self-starter with the ability to meet or exceed deadline expectations.
+ Excellent organizational, written, verbal, and presentation skills.
+ Ability to influence and work effectively and cross-functionally within Huntington's business segments.
+ Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
+ Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Compensation Range:
$75,000- $85,000 annual salary
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis.
Control Room Compliance Specialist - Senior
Columbus, OH Jobs
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington's Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management's attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
Bachelors Degree
3 or more years' experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
Strong technical background with the ability to manage cloud based applications used to support Control Room functions
Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
General knowledge of Control Room purpose and functions.
FINRA series 7 and 24 licensure is strongly encouraged.
Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
Strong problem-solving skills.
Self-starter with the ability to meet or exceed deadline expectations.
Excellent organizational, written, verbal, and presentation skills.
Ability to influence and work effectively and cross-functionally within Huntington's business segments.
Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Compensation Range:
$75,000- $85,000 annual salary
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis.
Control Room Compliance Specialist - Senior
Columbus, OH Jobs
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington's Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management's attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
+ Bachelors Degree
+ 3 or more years' experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
+ Strong technical background with the ability to manage cloud based applications used to support Control Room functions
+ Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
+ General knowledge of Control Room purpose and functions.
+ FINRA series 7 and 24 licensure is strongly encouraged.
+ Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
+ Strong problem-solving skills.
+ Self-starter with the ability to meet or exceed deadline expectations.
+ Excellent organizational, written, verbal, and presentation skills.
+ Ability to influence and work effectively and cross-functionally within Huntington's business segments.
+ Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
+ Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Compensation Range:
$75,000- $85,000 annual salary
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis.
Compliance Officer II-Compliance Fair Lending Testing-Remote
Cincinnati, OH Jobs
Make banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Assists in the identification and assessment of risks (Fair Lending, Responsible Banking), and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Develops and executes strategies for closing gaps in performance. Works mostly self-directed, with minimal supervisory oversight. Also works within department and cross-department teams.
Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within the Banks risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
* Participates in the analysis of lending policies and procedures, including scoring systems, strategic priorities, market share data, lending trends, external influences, current regulatory focuses, previous examination findings, and input from Audit and conducts interviews and discussions with managers at all levels to understand the lending process, lending guidelines and Technology platforms.
* Analyzes data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and Develop and recommend scope or target for the Review, corrective action/or performance gap closure. Develops and executes strategies for closing gaps in performance.
* Assess the adequacy of the business units'/affiliates recommended corrective action to the issues or gaps identified.
* Develops and reports findings to Senior Management regarding their business lines (Legal, Audit, and Senior level Operating Committees).
* Participates and/or Leads regular meetings with peers to Build and maintain knowledge of current and emerging issues and risk in the environment.
* Recommends solutions based upon subject matter expertise to Regulatory Monitoring and Change management Program ownership.
* Recommend protocols for fair lending compliance testing.
* Contribute updates to the compliance risk assessment and testing plan.
* Support post-implementation validation based on risk rating.
* Reviews reporting from the Councils for use by the Regulatory Change management Committee.
* Areas of responsibility and accountability within compliance Include: consumer, commercial, testing & practices and all other relevant and applicable laws and regulations.
Job Requirements
* Bachelor's degree or equivalent work experience required.
* 5+ years' experience as Officer or equivalent work experience.
* Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.
* Able to understand and conceptualize basic statistical analysis and theories. With solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format, (e.g. spreadsheets, flat files, databases, etc.).
* Good understanding of mortgage, credit card, and small business products.
* Understanding of consumer finance and of Fifth Third Banking products, business lines, Affiliate structure and operations, and Corporate support organization. Including, the bank's management teams and decision-making operations.
* Strong understanding of the Federal Reserve and consumer financial Protection Bureau (CFPB) Examination standards and general Regulatory issuances.
* Including back-office operations related to credit products.
* Good understanding of fair lending and responsible banking laws and regulations and the technical requirements of the Interagency fair lending, Examination Procedures (IFLEP).
* Knowledge of Interagency CRA Examination Procedures Optional.
* Excellent oral and written communication skills. Effectively communicates upward, downward and laterally. Displays a positive business presence with management and external contacts.
* Must be able to demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
SUPERVISORY RESPONSIBILITIES:
None
78,300.00 - 157,000.00 USD Annual
Compliance Officer II-Compliance Fair Lending Testing-Remote
LOCATION -- Cincinnati, Ohio 45227
Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.
Compliance Officer II-Compliance Fair Lending Testing-Remote
Cincinnati, OH Jobs
Make banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank.
GENERAL FUNCTION:
Assists in the identification and assessment of risks (Fair Lending, Responsible Banking), and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Develops and executes strategies for closing gaps in performance. Works mostly self-directed, with minimal supervisory oversight. Also works within department and cross-department teams.
Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within the Banks risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Participates in the analysis of lending policies and procedures, including scoring systems, strategic priorities, market share data, lending trends, external influences, current regulatory focuses, previous examination findings, and input from Audit and conducts interviews and discussions with managers at all levels to understand the lending process, lending guidelines and Technology platforms.
Analyzes data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and Develop and recommend scope or target for the Review, corrective action/or performance gap closure. Develops and executes strategies for closing gaps in performance.
Assess the adequacy of the business units'/affiliates recommended corrective action to the issues or gaps identified.
Develops and reports findings to Senior Management regarding their business lines (Legal, Audit, and Senior level Operating Committees).
Participates and/or Leads regular meetings with peers to Build and maintain knowledge of current and emerging issues and risk in the environment.
Recommends solutions based upon subject matter expertise to Regulatory Monitoring and Change management Program ownership.
Recommend protocols for fair lending compliance testing.
Contribute updates to the compliance risk assessment and testing plan.
Support post-implementation validation based on risk rating.
Reviews reporting from the Councils for use by the Regulatory Change management Committee.
Areas of responsibility and accountability within compliance Include: consumer, commercial, testing & practices and all other relevant and applicable laws and regulations.
Job Requirements
Bachelor's degree or equivalent work experience required.
5+ years' experience as Officer or equivalent work experience.
Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.
Able to understand and conceptualize basic statistical analysis and theories. With solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format, (e.g. spreadsheets, flat files, databases, etc.).
Good understanding of mortgage, credit card, and small business products.
Understanding of consumer finance and of Fifth Third Banking products, business lines, Affiliate structure and operations, and Corporate support organization. Including, the bank's management teams and decision-making operations.
Strong understanding of the Federal Reserve and consumer financial Protection Bureau (CFPB) Examination standards and general Regulatory issuances.
Including back-office operations related to credit products.
Good understanding of fair lending and responsible banking laws and regulations and the technical requirements of the Interagency fair lending, Examination Procedures (IFLEP).
Knowledge of Interagency CRA Examination Procedures Optional.
Excellent oral and written communication skills. Effectively communicates upward, downward and laterally. Displays a positive business presence with management and external contacts.
Must be able to demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
SUPERVISORY RESPONSIBILITIES:
None
78,300.00 - 157,000.00 USD Annual
Compliance Officer II-Compliance Fair Lending Testing-RemoteLOCATION -- Cincinnati, Ohio 45227
Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.
Compliance Officer II-Compliance Fair Lending Testing-Remote
Cincinnati, OH Jobs
Make banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Assists in the identification and assessment of risks (Fair Lending, Responsible Banking), and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Develops and executes strategies for closing gaps in performance. Works mostly self-directed, with minimal supervisory oversight. Also works within department and cross-department teams.
Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within the Banks risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
+ Participates in the analysis of lending policies and procedures, including scoring systems, strategic priorities, market share data, lending trends, external influences, current regulatory focuses, previous examination findings, and input from Audit and conducts interviews and discussions with managers at all levels to understand the lending process, lending guidelines and Technology platforms.
+ Analyzes data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and Develop and recommend scope or target for the Review, corrective action/or performance gap closure. Develops and executes strategies for closing gaps in performance.
+ Assess the adequacy of the business units'/affiliates recommended corrective action to the issues or gaps identified.
+ Develops and reports findings to Senior Management regarding their business lines (Legal, Audit, and Senior level Operating Committees).
+ Participates and/or Leads regular meetings with peers to Build and maintain knowledge of current and emerging issues and risk in the environment.
+ Recommends solutions based upon subject matter expertise to Regulatory Monitoring and Change management Program ownership.
+ Recommend protocols for fair lending compliance testing.
+ Contribute updates to the compliance risk assessment and testing plan.
+ Support post-implementation validation based on risk rating.
+ Reviews reporting from the Councils for use by the Regulatory Change management Committee.
+ Areas of responsibility and accountability within compliance Include: consumer, commercial, testing & practices and all other relevant and applicable laws and regulations.
Job Requirements
+ Bachelor's degree or equivalent work experience required.
+ 5+ years' experience as Officer or equivalent work experience.
+ Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.
+ Able to understand and conceptualize basic statistical analysis and theories. With solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format, (e.g. spreadsheets, flat files, databases, etc.).
+ Good understanding of mortgage, credit card, and small business products.
+ Understanding of consumer finance and of Fifth Third Banking products, business lines, Affiliate structure and operations, and Corporate support organization. Including, the bank's management teams and decision-making operations.
+ Strong understanding of the Federal Reserve and consumer financial Protection Bureau (CFPB) Examination standards and general Regulatory issuances.
+ Including back-office operations related to credit products.
+ Good understanding of fair lending and responsible banking laws and regulations and the technical requirements of the Interagency fair lending, Examination Procedures (IFLEP).
+ Knowledge of Interagency CRA Examination Procedures Optional.
+ Excellent oral and written communication skills. Effectively communicates upward, downward and laterally. Displays a positive business presence with management and external contacts.
+ Must be able to demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
SUPERVISORY RESPONSIBILITIES:
None
78,300.00 - 157,000.00 USD Annual
Compliance Officer II-Compliance Fair Lending Testing-Remote
LOCATION -- Cincinnati, Ohio 45227
Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.
Wealth Management Compliance and Oversight Sr. Analyst
Compliance Specialist Job At UMB Bank
As the Senior Compliance and Oversight Analyst, you will assist in the execution of an effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. This is a hybrid position, working from home Mon. & Fri., and working in the office Tues., Wed. & Thur.
How you will spend your time:
Develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes.
Provide suggestions to improve policies/procedures, business practices, and/or compliance related controls.
Become a supportive resource for questions related to current policies and procedures.
Assist in the documentation and maintenance of the department's policies and procedures.
Conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense).
Assist with internal and external regulatory inquiries, examinations, and other compliance related audits.
Develop and deliver training for line of business, communicating policies and compliance requirements.
Assist with resolving escalated or complex issues.
Execute the Code of Ethics program for Private Wealth Management associates.
Responsible for processing regulatory filings.
Reviews and approve the departments marketing and advertising materials.
Partner with Legal, Corporate Compliance, other lines of business and Leadership as needed.
Other duties as assigned.
We're excited to talk with you if:
You possess a bachelor's degree in relevant field or combination of education and experience that provides an equivalent background.
You have 5+ years of applicable experience within Financial Services.
You have regulatory compliance experience with a Registered Investment Advisory Firm.
You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
You demonstrate proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor).
You have proficiency in documenting business policies, and procedures.
You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills.
You demonstrate ability to define problems, collect data, establish facts, and draw valid conclusions.
You show excellent time management skills and the ability to work independently.
You are proficient in the Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).
You have the ability to adapt and work within multiple business support systems.
Bonus points if:
You have 1st and/or 2nd Line of Defense experience in risk management.
You understand policy, framework and procedure development.
You have managed and/or developed a risk program.
You have an understanding of RIA risk frameworks and concepts.
You have 2+ years' experience in Risk Management.
You have 2+ years working with external regulators.
You have specific knowledge regarding wealth management services and financial planning.
You show proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, MCO, Black Diamond and/or Salesforce.
You have used software tools for business process mapping, analysis, and re-engineering.
Compensation Range:
$57,760.00 - $124,170.00
The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In 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?
You're more than a means to an end-a way to help us meet the bottom line. UMB isn't 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. You'll 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.