Compliance and Oversight Analyst II

Compliance And Oversight Analyst Ii

As a Compliance And Oversight Analyst II, you will be exposed to all departments within Private Wealth Management. You will be primarily focused on systematic tasks and responsibilities within the Compliance & Oversight Team. This is a hybrid position, working from home Fri., and working in the office Mon., Tues., Wed. & Thur. Training may require on site full time.

How you will spend your time :

• Conduct quality control (QC) testing to document effectiveness of business controls and adherence to policies and procedures (FLOD).
• Manage the department library of policies and procedures.
• Maintain the Compliance & Oversight SharePoint page and dashboards.
• Manage Private Wealth's document storage and retention systems and processes.
• Develop and provide reports, as directed.
• Prepare department committee meeting materials.
• Manage the Code of Ethics program for Private Wealth Management associates.
• Assist in the account review (Reg 9) program to Private Wealth Management.
• Conduct Regulatory reporting for Private Wealth Management.
• Other duties as assigned.

We're excited to talk with you if :

Bonus points if :

Compensation Range : $51,480.00 - $99,330.00

UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 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, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.

UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to talentacquisition@umb.com to let us know the nature of your request.

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