Compliance and Oversight Analyst Sr

UMB Bank • Kansas City, MO • 2h ago

As a 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 Fri., and working in the office Mon., Tues., Wed. & Thur.

How you will spend your time:

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

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

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

You will assist in the documentation and maintenance of the department's policies and procedures.

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

You will assist with internal and external regulatory inquiries, examinations, and other compliance related audits.

You will develop and deliver training for line of business, communicating policies and compliance requirements.

You will assist with resolving escalated or complex issues.

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

You will be responsible for processing regulatory filings.

You will review and approve the department's marketing and advertising materials.

You will 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 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 demonstrateproficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor).

You are proficient in documenting business policies, and procedures.

You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills.

You demonstrateability to define problems, collect data, establish facts, and draw valid conclusions.

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

You show proficiencyof Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).

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

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 talentacquisition@umb.com to let us know the nature of your request.

If you are a California resident, please visit our Privacy Notice for California Job Candidates (https://p1.aprimocdn.net/umb/cdbf5f22-8f7a-43b9-bd03-b09f014a39c3/Privacy\Notice\for\California\Candidates\Original\file.pdf) to understand how we collect and use your personal information when you apply for employment with UMB.

Who we are

We are more than a company. We are advisors, consultants, problem solvers, friends, community members, experts, and we are here to help you make the best of every moment with a financial foundation that can help you succeed.

Learn more about UMB's vision (https://p1.aprimocdn.net/umb/8cf58ce2-e9d6-4621-b60a-b09f01638943/UMB\Tuce\Book\Original\file.pdf)

Check out the road to a career at UMB

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