UMB Bank · 13 hours ago
Compliance and Oversight Analyst Sr
Kansas City MO
Full-time
Hybrid
Senior Level
$58K/yr - $124K/yrUMB Bank is a financial institution seeking a Senior Compliance and Oversight Analyst to assist in executing an effective Compliance and Oversight Program. The role involves ensuring compliance with laws and regulations, improving policies and procedures, conducting quality control testing, and providing training on compliance requirements.
BankingFinanceFinancial Services
Responsibilities
You will develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes
You will provide suggestions to improve policies/procedures, business practices, and/or compliance related controls
You will become a supportive resource for questions related to current policies and procedures
You will assist in the documentation and maintenance of the department’s policies and procedures
You will conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense)
You will assist with internal and external regulatory inquiries, examinations, and other compliance related audits
You will develop and deliver training for line of business, communicating policies and compliance requirements
You will assist with resolving escalated or complex issues
You will execute the Code of Ethics program for Private Wealth Management associates
You will be responsible for processing regulatory filings
You will review and approve the department’s marketing and advertising materials
You will partner with Legal, Corporate Compliance, other lines of business and Leadership as needed
Other duties as assigned
Qualification
Required
You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance
You demonstrate proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor)
You are proficient in documenting business policies, and procedures
You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills
You demonstrate ability to define problems, collect data, establish facts, and draw valid conclusions
You have excellent time management skills and the ability to work independently
You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint)
You have the ability to adapt and work within multiple business support systems
Benefits
Paid Time Off
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
Dependent care accounts
Adoption assistance
An employee assistance program
Fitness reimbursement
Tuition reimbursement
An associate wellbeing program
An associate emergency fund
Various associate banking benefits
Company
UMB Bank
UMB Financial Corporation is a commercial bank that offers various financial services.
Founded in 1913
1001-5000 employees
H1B Sponsorship
UMB Bank has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (15)
2024 (20)
2023 (14)
2022 (33)
2021 (11)
2020 (18)
Funding
Current Stage
Public CompanyTotal Funding
$606.13M2025-05-29Post Ipo Equity· $294.53M
2024-04-29Post Ipo Equity· $201.6M
2022-09-23Post Ipo Debt· $110M
Leadership Team
Brian Hutchin
Executive Vice President, Director of Healthcare Services at UMB, Institutional Banking Division
Phillip Mason
President of Institutional Banking
Recent News
Life Insurance International
2026-01-15
2026-01-09
Company data provided by crunchbase