UMB Bank · 1 month ago
Compliance and Oversight Analyst II
Kansas City MO
Full-time
Hybrid
Mid Level
$51K/yr - $99K/yr
3+ years expUMB Bank is a financial institution that values community and trust, and they are seeking a Compliance and Oversight Analyst II to join their Private Wealth Management team. This role focuses on compliance activities, quality control testing, and managing departmental processes to ensure adherence to policies and procedures.
BankingFinanceFinancial Services
Responsibilities
You will conduct quality control (QC) testing to document effectiveness of business controls and adherence to policies and procedures (FLOD)
You will manage the department library of policies and procedures
You will maintain the Compliance & Oversight SharePoint page and dashboards
You will manage Private Wealth’s document storage and retention systems and processes
You will develop and provide reports, as directed
You will prepare department committee meeting materials
You will manage the Code of Ethics program for Private Wealth Management associates
You will assist in the account review (Reg 9) program to Private Wealth Management
You will conduct Regulatory reporting for Private Wealth Management
Other duties as assigned
Qualification
Required
You possess a Bachelor's degree in relevant field or combination of education and experience that provides an equivalent background
You have 3+ years of applicable experience within Financial Services
You have systems thinking and complex problem solving skills
You have attention to detail, yet ability to grasp big picture
You are highly organized and can effectively multi-task
You are a great communicator with quality interpersonal skills
You show proficiency in documenting business processes, policies and procedures
You have exceptional written communication skills
You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint)
Preferred
You have 1st and/or 2nd Line of Defense experience in risk management within a large financial institution
You have knowledge regarding wealth management services
You have an understanding of financial services enterprise risk frameworks and concepts
You have general knowledge of risk control testing process design and program execution
You have proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, Salesforce, SharePoint and Workday
You have used software tools for business process mapping, analysis, and re-engineering
You have working knowledge of applicable laws and regulations in wealth management (OCC)
Benefits
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
Company
UMB Bank
UMB Financial Corporation is a commercial bank that offers various financial services.
1001-5000 employees
H1B Sponsorship
UMB Bank has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (15)
2024 (20)
2023 (14)
2022 (33)
2021 (11)
2020 (18)
Funding
Current Stage
Public CompanyTotal Funding
$606.13M2025-05-29Post Ipo Equity· $294.53M
2024-04-29Post Ipo Equity· $201.6M
2022-09-23Post Ipo Debt· $110M
Leadership Team
Brian Hutchin
Executive Vice President, Director of Healthcare Services at UMB, Institutional Banking Division
Phillip Mason
President of Institutional Banking
Recent News
2026-01-09
Company data provided by crunchbase