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Compliance Manager - Enterprise Compliance Programs Job Details

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Employer:  KeyBank
Job Ref No:  J3K4L86ZBDP6SN31KWF&codes=TN
Job Title:  Compliance Manager - Enterprise Compliance Programs


JOB BRIEF The ECP Manager leads a team with the overall responsibility of providing strategic leadership on the identification and execution of compliance risk initiatives. This position is responsible for ensuring compliance risk requirements and processes comply with regulatory requirements, Keyâs Risk Management policies and program requirements, and that business activities are managed within Keyâs Compliance Risk Management appetite. The qualified candidate must be able to work independently and use sound judgment taking into consideration compliance risk tolerances of KeyCorp overall.

The position has responsibility for oversight of Enterprise Compliance Risk programs and policies, which includes providing highly specialized guidance and oversight of the bankâs compliance risk management program. Specific elements include board reporting, risk assessment methodology and oversight, issue management, policy and procedure administration, exam and audit management, compliance program administration, monthly compliance reporting and Tier 2 governance committee administration. The incumbent will develop compliance strategy and challenge design and execution of such strategy across Compliance Risk Management. Partnering with stakeholders across the organization, while ensuring fiduciary oversight, is critical to the success of this position.


ESSENTIAL JOB FUNCTIONS
  • Lead a team of compliance risk professionals who work directly with Compliance Risk Management leaders to identify risks, develop assessments, provide input over controls and testing, advise on and monitor remediation activities and create reporting.
  • Responsible for advising, monitoring, overseeing, and review and challenge of Compliance Risk Management Program.
  • Responsible for directing a team in assisting with the ongoing development and implementation of the Compliance Risk Management teamâs strategic plan to accomplish its Annual Compliance Risk objectives.
  • Provide direction and deliver training to line Compliance Risk Management staff and others, as needed.
  • Monitor and assess new and emerging risks.
  • Responsible for staffing and developing processes to fully implement the Enterprise Compliance Risk Management Program.
  • Provide strong leadership, mentoring, and guidance to subordinates, peers and other members of the team as well as other members of Risk Management.
  • Responsible for proactively anticipating and responding to changes in regulations, rules and/or laws; assessing the impact of any change to the line of business areas and assisting them in responding to such changes.
  • Coordinate internal and external audits, exams and requests for information. Direct the evaluation of audit and examination findings and implementation of corrective action and needed responses.
  • Direct the response to ongoing regulatory and legal inquiries and investigations.
  • Develop and maintain positive working relationships with internal clients, staff, peers, and LOB senior management.
  • Maintain relationships with industry peers and regulatory bodies.
  • Identifies, responds and/or escalates risks as appropriate;
  • Directs the development and recommends for approval policies, standards, procedures and guideline to comply with corporate risk appetites, tolerances and policies.
  • Conducts review and challenge activities and escalation, including independent testing as required.

REQUIRED QUALIFICATIONS
  • Experience as a Financial Services Regulator Preferred.
  • Possess CRCM designation (or CAMS for AML Manager) or obtain the certification within one year of employment
  • An Undergraduate degree is required, advanced degree/s desired and would be a plus
  • Minimum of 8-10 years of consumer compliance regulatory experience.
  • 5+ years of management experience
  • Extensive knowledge of the assigned compliance area along with the associated operations including the related rules and regulations of the financial services industry to include: OCC, FRB, State Law and other pertinent regulations.
  • In-depth practical knowledge of internal controls, risk assessments, compliance processes, issues management and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes.
  • Strong leadership and relationship management skills including the ability to lead up and across the organization
  • Has high ethical standards
  • Ability to effectively communicate to lines of businesses and senior management, both in writing and verbally
  • Proven to be a proactive thinker
  • Proven ability to have, maintain, and establish strong contacts within the industry so as to be aware of current industry issues and practices
  • Proven ability to drive results through people
  • Strong project management and/or continuous improvement skills


ABOUT KEY:
KeyCorpâs roots trace back 190 years to Albany, New York. Headquartered in Cleveland, Ohio, Key is one of the nationâs largest bank-based financial services companies with assets of approximately $136.5 billion at December 31, 2016. Key provides deposit, lending, cash management and investment services to individuals and small and mid-sized businesses in 15 states under the name KeyBank National Association and First Niagara Bank, National Association, through a network of more than 1,200 branches and more than 1,500 ATMs. Key also provides a broad range of sophisticated corporate and investment banking products, such as merger and acquisition advice, public and private debt and equity, syndications and derivatives to middle market companies in selected industries throughout the United States under the KeyBanc Capital Markets trade name. KeyCorpâs roots trace back 190 years to Albany, New York. Headquartered in Cleveland, Ohio, Key is one of the nationâs largest bank-based financial services companies with assets of approximately $136.5 billion at December 31, 2016. Key provides deposit, lending, cash management and investment services to individuals and small and mid-sized businesses in 15 states under the name KeyBank National Association and First Niagara Bank, National Association, through a network of more than 1,200 branches and more than 1,500 ATMs. Key also provides a broad range of sophisticated corporate and investment banking products, such as merger and acquisition advice, public and private debt and equity, syndications and derivatives to middle market companies in selected industries throughout the United States under the KeyBanc Capital Markets trade name.

ABOUT THE BUSINESS:
Key Enterprise Risk Management provides leadership on risk management strategies and initiatives for credit, market, compliance and operational risk, as well as portfolio management, quantitative analytics and asset recovery activities.

FLSA STATUS:Exempt

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.

Employment Type:  Full Time
States/Counties:  Ohio
City:  Cleveland
Address: 
10/13/2017

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