KeyBank · 14 hours ago
Compliance Director - Risk Assessment and Monitoring
Charlotte, NC
Full-time
Hybrid
Senior Level, Lead/Staff
$123K/yr - $257K/yr
10+ years expKeyBank is a financial services company seeking a Compliance Director, Risk Assessment and Monitoring. This senior-level leader will be responsible for developing and executing compliance risk assessment and monitoring programs to identify and manage regulatory risks effectively.
Banking
Responsibilities
Lead the design, implementation, and execution of the Compliance Risk Assessment Framework to ensure timely identification of compliance risks and effectiveness of controls
Develop and maintain risk assessment methodologies and framework used to evaluate potential compliance risk exposure across Key
Oversee the Compliance Risk Assessment Program through development, implementation, execution, and reporting of results
Collaborate with stakeholders to execute Compliance Risk Assessments and report on results
Coordinate root-cause analysis and remediation plans; help drive remediation owners to closure and verify effectiveness of corrective actions
Oversee the development and execution of a risk-based compliance monitoring program
Develop and maintain the annual monitoring plan, inclusive of quarterly reviews and committee reporting
Ensure monitoring activities are aligned with the organization’s Compliance Risk Assessments and regulatory obligations
Collaborate with stakeholders to execute monitoring plan and report on results
Lead continuous improvement initiatives to enhance monitoring coverage, automation, data analytics and efficiency
Leverage data analytics to enhance and streamline Compliance risk assessment and monitoring activities across Compliance Risk Management
Deliver regular reports and dashboards on compliance risk trends and monitoring results
Provide committee-level reporting and updates on the status and results of the Compliance Risk Assessment and Monitoring Programs
Serve as the point of contact for regulatory requests and audits, ensuring timely and accurate reporting and compliance
Provide training and guidance to lines of business, and Compliance teams on risk assessment methodologies, monitoring tools, and compliance obligations
Qualification
Required
Bachelor's degree in business or finance preferred, or equivalent years of experience
Advanced Degree, Juris Doctorate or Risk Management certification(s) highly preferred
A minimum of 10 years of relevant compliance, risk management, or audit experience in the financial services industry
Demonstrated experience developing and leading compliance risk assessment and monitoring programs
Direct experience with Tableau Dashboards
In-depth practical knowledge of internal controls, risk assessments and compliance processes, and applicable techniques for implementation of regulatory compliance requirements and compliance processes
Exceptional analytical, problem-solving, and communication skills
Proven ability to influence and collaborate with senior leadership and cross-functional teams
Strong executive presence and self-confidence to make effective presentations at various levels within the organization
Skilled in presenting arguments with supporting data analysis and clearly explaining the reasoning behind decisions
Proficient in interpreting data, analyzing risk trends, and developing mitigation strategies based on data
Established history of integrity, ethical decision-making, and the ability to make swift, independent decisions when necessary
Skilled in aligning business objectives with risk management strategies to drive organizational success
Data-driven mindset with the ability to leverage analytics to inform decision making and enhance program effectiveness
Robust project management capabilities and a commitment to ongoing enhancement of processes and practices
Open to embracing new responsibilities and adapting to the evolving needs of the Compliance Risk Function and business operations
Company
KeyBank
At KeyBank we’ve made a promise to our clients that they will always have a champion in us.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Chris Gorman
Chairman, Chief Executive Officer, and President, KeyCorp
Holly Santoro
Executive Administrator to the Chairman & CEO
Recent News
2023-08-28
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