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.
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.

Requirements

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.

Benefits

📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

compliance risk assessmentrisk managementdata analyticsinternal controlsregulatory compliancemonitoring programsproblem-solvingdata interpretationmitigation strategiesproject management

Soft Skills

analytical skillscommunication skillsinfluencecollaborationexecutive presenceself-confidencepresentation skillsethical decision-makingindependent decision-makingalignment of business objectives

Certifications

Risk Management certificationJuris Doctorate