Compliance Officer, Consumer Complaints
KeyBank
Tableau
Operational and Compliance Risk Testing Officer
KeyBank
full-time
Posted on:
Origin: • 🇺🇸 United States • New York, Ohio
Visit company websiteSalary
💰 $90,000 - $100,000 per year
Job Level
Mid-LevelSenior
Tech Stack
Tableau
About the role
- Provide an independent Second Line of Defense approach to risk-based monitoring and evaluation by focusing on current, high impact operational risks, developing assessments, and providing input over control effectiveness through formal reporting, as well as monitoring remediation activities
- Work independently and with a team on risk-based monitoring and evaluation activities, including risk assessment, monitoring and testing, analysis of findings, and reporting to ensure effective, sustainable risk management processes exist
- Scope risk evaluations, monitoring, and design testing plans with a working knowledge of operational risk, banking operations, and related products (lending, deposits, etc.)
- Utilize data analysis tools and techniques to analyze, quantify, and/or assess risks and to evaluate controls to identify potential weaknesses and/or control gaps
- Clearly document the results or conclusions for testing performed in concise management reports and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gaps
- Review policies, procedures, and associated risk and operational programs to ensure consistency with internal and industry standards as well as current applicable banking rules, regulations, and laws
- Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, and Audit
Requirements
- Bachelor's degree
- Minimum 3 years of banking operations, risk management (operational and/or compliance), and/or audit experience with a strong focus on risks and controls and risk-based testing or auditing techniques
- Practical working knowledge of financial services operations including the related rules and regulations: OCC, FRB, CFPB, State Law, and other pertinent regulations
- Demonstrated skill in effectively communicating (verbal and written) results to a diverse audience; ability to work with all levels of management
- Strong interpersonal skills and ability to work well in a team environment
- High ethical standards, strong critical thinking, detective, analytical, and problem-solving skills
- Autonomous, self-motivated, and flexible with the ability to adapt quickly to change or shifting priorities
- Preferred: Currently maintains or actively pursuing industry relevant professional certifications (e.g., CFE, CRCM)
- Preferred: Experience with data analysis tools and techniques including advanced concepts of Microsoft Word, Excel, and PowerPoint and/or other analytical software (e.g., SAS, Tableau, ACL)
- Preferred: Comprehensive knowledge of the operational, technical, and functional structure of financial services organizations, banking systems, and operational risk programs
- Preferred: Experience working on projects or initiatives requiring strategic planning/thinking across multiple functional areas and business processes
