KeyBank · 2 days ago

Compliance Officer - Risk Evaluation and Assurance

Remote, United States

Full-time

Remote

Mid Level

$90K/yr - $100K/yr

3+ years exp

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Responsibilities

Serve on a team of risk evaluation and assurance professionals, working to provide an independent Second Line of Defense approach to risk-based monitoring and evaluation by focusing on current, high impact compliance risks, developing assessments, and providing input over control effectiveness through formal reporting, as well as monitoring remediation activities.

Work independently and with a team on risk-based monitoring and evaluation activities, including risk assessment, monitoring and testing, analysis of findings, and reporting to ensure effective, sustainable risk management processes exist.

Demonstrate a working knowledge of applicable banking/consumer compliance regulations and laws, industry trends, emerging issues, and related banking products (e.g. – lending, deposits, etc.) and ability to understand its applicability to risk management strategies including the scoping of risk evaluations, monitoring, and design of testing plans.

Utilize data analysis tools and techniques to analyze, quantify, and/or assess risks and to evaluate controls to identify potential weaknesses and/or control gaps.

Clearly document the results or conclusions for testing performed in concise management reports and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gaps.

Review policies and procedures and associated compliance and compliance risk programs to ensure consistency with current applicable banking and securities rules, regulations, and laws.

Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, and Audit.

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Compliance experienceRisk management experienceAudit experienceFinancial services complianceData analysis toolsCertified Regulatory Compliance ManagerMicrosoft ExcelMicrosoft WordMicrosoft PowerPointSASTableauACL

Required

Education/Background: Bachelor's degree

3 to 5+ years of compliance, risk management, and/or audit experience with a strong focus on risks and controls.

Practical working knowledge of financial services compliance and operations including the related rules and regulations of the financial services industry to include: OCC, FRB, CFPB, State Law, and other pertinent regulations.

Demonstrated skill in effectively communicating (verbal and written) results to a diverse audience; ability to work with all levels of management with a focus on collaboration and relationship management.

Strong interpersonal skills; ability to work well in a team environment.

High ethical standards, strong critical thinking, detective, analytical, and problem-solving skills.

Autonomous, self-motivated, and flexible with the ability to adapt quickly to change or shifting priorities in a fast-paced environment.

Preferred

Currently maintains or actively pursuing industry relevant professional certifications in risk management and/or compliance (e.g. – Certified Regulatory Compliance Manager (CRCM))

Prior financial services compliance testing experience leveraging risk-based auditing techniques.

Experience with data analysis tools and techniques including advanced concepts of Microsoft Word, Excel, and PowerPoint and/or other analytical software (e.g. – SAS, Tableau, ACL, etc.).

Comprehensive knowledge of the operational, technical and functional structure of financial services organizations, banking systems, and compliance programs.

Experience working on projects or initiatives requiring strategic planning/thinking across multiple functional areas and business processes.