Sr. Compliance Manager – Operational Risk Testing

About the role

As part of Key’s second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the “REA Program”) has the responsibility for evaluating Key’s ongoing compliance with applicable laws and regulations and the adequacy of operational controls and processes in mitigating applicable risks through the execution of operational and compliance monitoring and testing across Key’s lines of business, products, and functional activities.

Responsibilities

• Lead and manage a team of operational risk testing professionals and provide oversight of the 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.
• Provide oversight, guidance, and strategic direction to staff related to day-to-day responsibilities and engagement of line of business management and compliance partners in designing and executing testing, special projects, and ongoing monitoring.
• Demonstrate subject matter expertise in the testing and working knowledge of banking operations, industry trends, emerging issues, and related banking products and ability to understand its applicability to risk management strategies including the scoping of risk evaluations, monitoring, and design of testing plans.
• Utilize knowledge of data analysis tools and techniques to lead a team of compliance testing professionals in analyzing, quantifying, and/or assessing risks and to evaluate controls to identify potential weaknesses and/or control gaps.
• Absorb and maintain awareness of emerging issues, bank-wide initiatives, and industry trends to be forward thinking and innovative in executing testing engagements and ongoing monitoring to identify process and control improvement opportunities.
• Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, Internal Audit, industry peers, and regulatory examiners.
• Participate in special projects as assigned and assist in the development and on-going enhancement of the REA Program and operational risk testing related procedures.
• Actively identify and pursue training or continuing education opportunities to further develop overall knowledge of regulatory compliance, banking products and services, industry trends, and emerging risks.

Requirements

• Education/Background: Bachelor's degree. Minimum 6 years of compliance, risk management, and/or audit experience with a strong focus on risks and controls and risk-based auditing and/or testing techniques; management experience preferred.
• Advanced working knowledge of financial services compliance and operations including the related rules and regulations of the financial services industry to include: OCC, FRB, 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.
• 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.).
• 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.
• Experience working on projects or initiatives requiring strategic planning/thinking across multiple functional areas and business processes.

Qualifications

• Currently maintains relevant professional and/or industry sponsored certifications in risk management, internal audit, and/or compliance (e.g. – Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE), Certified Regulatory Compliance Manager (CRCM), etc.).
• Comprehensive knowledge of the operational, technical, and functional structure of financial services organizations, banking systems, and risk programs.

Benefits

This position is eligible to earn a base salary in the range of $112,000.00 - $210,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

Pay

This position is eligible to earn a base salary in the range of $112,000.00 - $210,000.00 annually.

Schedule

Not specified.