Compliance Analyst-Fiduciary
UMB Bank•Kansas City, MO
•$67,869 - $99,836
About The Position
Corporate Compliance Services partners with UMB management in its obligation to effectively manage compliance and related risks within the UMB family of corporations. This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs. As a Fiduciary Compliance Analyst, you will assist with the ongoing administration and execution of the Fiduciary Compliance Management Programs.
Requirements
- A Bachelor's degree or equivalent work experience in Accounting, Finance or Business Administration.
- At least two (2) years’ experience working in a compliance, risk management, audit, monitoring or internal control related capacity.
Nice To Haves
- Certified Fiduciary investment Risk Specialist (CFIRS) or Certified Internal Auditor (CIA)
- Experience supporting trust, fiduciary, wealth management, or investment advisory activities
Responsibilities
- Perform compliance monitoring to validate the effectiveness of compliance policies and procedures and regulatory requirements.
- Review and assess the first line of defense quality control activities for completion, appropriateness of design, and escalate concerns when appropriate.
- Perform risk assessments over third parties used by the lines of business.
- Review substantiated complaints for proper resolution and determine if thematic concerns exist.
- Review incentive compensation plans and marketing materials for compliance considerations.
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
- various associate banking benefits
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
