Compliance And Oversight Analyst Ii

As a Compliance and Oversight Analyst II, you will be exposed to all departments within Private Wealth Management. You will assist in the oversight of the Division's policies and procedures, interface with internal and external examiners and assist with special projects.
Area of Responsibility and Purview: Performs some or all of the bank's first line of defense activities for Private Wealth Management, as directed by a Manager within the function.
This is a hybrid position, working from home Mon. & Fri., and working in the office Tues., Wed. & Thur. Training may require on site full time.
How you will spend your time:

• You will document and update policies and procedures.
• You will develop and deliver training for line of business communicating policies and procedures, as well compliance requirements.
• You will conduct quality control (QC) and other testing to document effectiveness of business controls and adherence to policies and procedures (FLOD).
• You will escalate Private Wealth risk issues, and manage breakdowns to resolution.
• You will execute on the client complaint process as it pertains to Private Wealth Management and associates.
• You will develop and provide reports, as directed.
• You will assist in executing on the Code of Ethics program for Private Wealth Management associates.
• You will assist in the account review (Reg 9) program to Private Wealth Management.
• Other duties as assigned.

We're excited to talk with you if:

• You possess a bachelor's degree in a relevant field or combination of education and experience that provides an equivalent background.
• You have 3+ years of applicable experience within Financial Services.
• You can solve complex problems.
• You can give attention to detail, yet ability to grasp big picture.
• You are highly organized and can effectively multi-task.
• You are a great communicator with strong interpersonal and written skills.
• You have a working knowledge of applicable laws and regulations in wealth management.
• You understand proficiency in documenting business processes, policies. and procedures.
• You are proficient in the Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).

Bonus points if:

• You have been on the 1st and/or 2nd Line of Defense experience in risk management within a large financial institution.
• You have working knowledge of financial services compliance processes and best practices.
• You have knowledge regarding wealth management services and financial planning.
• You understand financial services enterprise risk frameworks and concepts.
• You have general knowledge of risk control testing process design and program execution.
• You have general knowledge of Archer risk management software, or similar software tools.
• You have proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, Salesforce, Workday, Peoplesoft and Hyperion.
• You understand software tools for business process mapping, analysis, and re-engineering.

Compensation Range:
Minimum: $54,180.00 - Mid Point: $72,240.00
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.
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