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Compliance Officer - Risk Evaluation & Assurance

Company: KeyBank
Location: Buffalo
Posted on: January 12, 2021

Job Description:

About the JobThe Risk Evaluation and Assurance Program (the "REA Program") team has the responsibility for monitoring and evaluating various lines of business and cross functional activities performed across similar areas and identifying and supporting effective and sustainable risk management processes across the organization. Individuals will help ensure compliance risk requirements and processes comply with the regulatory requirements, Key's Risk Management policies and program requirements and the business activities managed within Key's Compliance Risk Management appetite through the execution of ongoing monitoring and testing. The position reports to the REA Program Manager.*Position can be filled as a Compliance Associate (Job Grade 81) or Compliance Officer (Job Grade 83).Essential Job Functions* Serve on a team of risk evaluation and assurance professionals, working to provide an independent Second Line of Defense approach to risk-based monitoring and evaluation by focusing on current, high impact compliance risks, developing assessments, and providing input over control effectiveness through formal reporting, as well as monitoring remediation activities.* Work independently and with a team on 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.* Demonstrate a working knowledge of applicable banking/consumer compliance regulations and laws, industry trends, emerging issues, and related banking products (e.g. - lending, deposits, etc.) 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 analyze, quantify, and/or assess risks and to evaluate controls to identify potential weaknesses and/or control gaps.* Clearly document the results or conclusions for testing performed in concise management reports and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gaps. * Review policies and procedures and associated compliance and compliance risk programs to ensure consistency with current applicable banking and securities rules, regulations, and laws.* Identify and provide process improvement opportunities and future-state control advisory services.* Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, and Audit.* Participate in special projects as assigned and assist in the development and on-going enhancement of the REA Program and compliance 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.Required Qualifications* Education/Background: Bachelor's degree,* 3 to 5+ years of compliance, risk management, and/or audit experience with a strong focus on risks and controls and risk-based auditing techniques. * Practical working knowledge of financial services compliance and operations including the related rules and regulations of the financial services industry to include: OCC, FRB, CFPB, 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.Preferred Qualifications* Currently maintains or actively pursuing industry relevant professional certifications in risk management and/or compliance (e.g. - Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), etc.)* Comprehensive knowledge of the operational, technical and functional structure of financial services organizations, banking systems, and compliance programs.FLSA STATUS:KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to engaging a diverse workforce and sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Keywords: KeyBank, Buffalo , Compliance Officer - Risk Evaluation & Assurance, Other , Buffalo, New York

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