Fiduciary Compliance Officer

Location:

About the Job

The Fiduciary Compliance Officer works within the Compliance Risk Management organization, and is responsible for ensuring compliance with policies, regulations, and laws that govern the fiduciary activities of KeyBank.

This role operates as a subject matter expert in all things fiduciary, and includes participating in testing and monitoring activities, providing advice to line of business partners, and providing effective review and challenge.

Essential Functions

• Performs regular reviews of fiduciary activities ana accounts to ensure all actions are aligned with fiduciary obligations, applicable laws and regulations.
• Identifies and escalates issues through the issue management program. Participates in review and challenge activities over remediation plans.
• Act as a resource on compliance related questions and concerns; staying abreast of industry and regulatory developments that are applicable to the Bank's fiduciary business.
• Assists in the development and review of procedures, forms, disclosures (including marketing).
• May participate in line of business committees and working groups, providing insight on Compliance risks, as well as credible review and challenge
• Occasionally assist with Reg O / Reg W monitoring, testing and reporting
• May assist in developing and presenting training materials related to fiduciary compliance
• Maintains a strong working knowledge of laws and regulations specific to fiduciary activities of national banks, including 12 CFR 9, 12 CFR 12, ERISA and other applicable Department of Labor laws.

Required Qualifications

• Bachelor's degree or equivalent work experience
• Minimum of 2 years of experience as a compliance officer/internal auditor for a national bank in the fiduciary space
• Experience using enterprise governance and compliance applications
• Past experience with testing or audit reviews
• In depth knowledge of fiduciary laws and regulations, and experience applying those in a national bank setting
• Experience working within an enterprise compliance framework for a large bank
• Strong analytical skills; excellent writing skills
• Effective communication skills, and a high level of comfort articulating compliance requirements in front of peers. Not afraid to speak up and ask questions.
• Inquisitive mind; practices professional skepticism
• Ability to work independently and met deadlines or communicate progress toward goals
• Detail oriented and committed to a high-quality work product; takes pride in the quality of their work
• Able to work with multiple stakeholders across a large organization, juggling multiple time zones, and working on several projects at once. Multi-tasking is critical.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.