Compliance Analyst-Fiduciary

About the role

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.

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.

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.
• Bonus points if you are a Certified Fiduciary Investment Risk Specialist (CFIRS) or Certified Internal Auditor (CIA).
• Experience supporting trust, fiduciary, wealth management, or investment advisory activities.

Qualifications

• Must be able to perform the essential functions of the job with or without reasonable accommodation.
• Must be able to pass a background check.

Skills

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work independently and as part of a team.

Benefits

• Comprehensive benefits package including medical, dental, vision, and other insurance coverage.
• Health savings, flexible spending, and dependent care accounts.
• Adoption assistance.
• Employee Assistance Program.
• Fitness reimbursement.
• Tuition reimbursement.
• Associate wellbeing program.
• Associate emergency fund.
• Variety of associate banking benefits.

Pay

$67,869 - $99,836

Schedule

Full-time

Contact Information

If you have questions about this position, please email talentacquisition@umb.com.

Equal Opportunity Employer

UMB is an equal opportunity employer and is committed to creating a diverse workforce. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, gender identity, sexual orientation, protected veteran status, or any other characteristic protected by law.