Operational and Compliance Risk Testing Officer
KeyBank
Tableau
Compliance Officer, Consumer Complaints
KeyBank
full-time
Posted on:
Origin: • 🇺🇸 United States • Illinois, New York, Ohio, Utah
Visit company websiteSalary
💰 $90,000 - $110,000 per year
Job Level
Mid-LevelSenior
Tech Stack
Tableau
About the role
- Serve on a team that provides an independent Second Line of Defense approach to oversee the Complaints Program and evaluation by independently assessing risks and issues
- Engage with the lines of business to help identify risks, assist with development and execution, provide review and challenge on complaints, and advise on and monitor remediation activities
- Assist with developing a bank-wide approach to overseeing the Complaints Program, focusing on identifying, measuring, mitigating, monitoring, and reporting of Complaint Data
- Utilize data analysis tools and techniques to analyze, quantify, and/or assess complaints and to evaluate controls to identify potential weaknesses and/or control gaps
- Provide actionable insights to business partners
- Remain current on developments in applicable laws, rules, standards, guidelines, and industry best practices
- Maintain a sound understanding of business strategy, business processes and associated risks with respect to all business units
- Assist with monitoring and recommend improvements to business processes to meet regulatory changes and mitigate potential risk exposure
- Support the review and challenge of complaints, new or revised policies and procedures, processes, training program content, issues management, implementation of regulatory changes, and reporting routines
- Provide information for analysis and reporting on complaints, including risk metrics performance, control testing results, remediation plans and status, peer benchmarks, external events, and emerging risks
- Assist with supporting the LOB on complaint-related regulatory exam and internal audit activities
- Clearly document and communicate the results or conclusions from any complaint testing and monitoring performed and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gaps
- Develop and maintain strong, collaborative relationships with all lines of business, mid to senior level management, other internal clients and peers, and Audit
Requirements
- Bachelor’s degree
- CRCM a plus
- Minimum of 3 years of Compliance experience
- Complaints experience preferred
- Strong knowledge of applicable regulations, and a strong focus on risks and controls
- Knowledge of internal controls, compliance testing and monitoring processes (including analytics)
- Demonstrated skill in effectively communicating (verbal and written) results to a diverse audience
- Ability to work with all levels of management with a focus on collaboration and relationship management
- Initiative; self-starter; ability to adapt quickly to change or shifting priorities
- High attention to detail and accuracy; ability to work in a fast-paced, changing environment
- Strong written and oral communications and interpersonal skills
- Actively identify and pursue training or continuing education opportunities
- Ability to present arguments backed with detailed data analytical support
- Tableau experience a plus
- Complies with all KeyBank policies and procedures, including acting professionally and avoiding conflicts of interest
