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Compliance and Oversight Analyst II
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As a Compliance and Oversight Analyst II, you will be exposed to all departments within Private Wealth Management. You will be primarily focused on systematic tasks and responsibilities within the Compliance & Oversight Team.
Area of Responsibility and Purview: Performs most if not all of Private Wealth Management’s first line of defense activities, as directed by a Manager within the function.
This is a hybrid position, working from home Fri., and working in the office Mon., Tues., Wed. & Thur. Training may require on site full time.
How you will spend your time:
- You will conduct quality control (QC) testing to document effectiveness of business controls and adherence to policies and procedures (FLOD).
- You will manage the department library of policies and procedures.
- You will maintain the Compliance & Oversight SharePoint page and dashboards.
- You will manage Private Wealth’s document storage and retention systems and processes.
- You will develop and provide reports, as directed.
- You will prepare department committee meeting materials.
- You will manage the Code of Ethics program for Private Wealth Management associates.
- You will assist in the account review (Reg 9) program to Private Wealth Management.
- You will conduct Regulatory reporting for Private Wealth Management.
- Other duties as assigned.
We’re excited to talk with you if:
- You possess a Bachelor’s degree in relevant field or combination of education and experience that provides an equivalent background.
- You have 3+ years of applicable experience within Financial Services.
- You have systems thinking and complex problem solving skills.
- You have attention to detail, yet ability to grasp big picture.
- You are highly organized and can effectively multi-task.
- You are a great communicator with quality interpersonal skills.
- You show proficiency in documenting business processes, policies and procedures.
- You have exceptional written communication skills.
- You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).
Bonus points if:
- You have 1st and/or 2nd Line of Defense experience in risk management within a large financial institution.
- You have knowledge regarding wealth management services.
- You have an understanding of financial services enterprise risk frameworks and concepts.
- You have general knowledge of risk control testing process design and program execution.
- You have proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, Salesforce, SharePoint and Workday.
- You have used software tools for business process mapping, analysis, and re-engineering.
- You have working knowledge of applicable laws and regulations in wealth management (OCC).
Compensation Range:
$51,480.00 - $99,330.00
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.
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.
UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to to let us know the nature of your request.
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