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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.

Area of Responsibility and Purview: Performs most if not all of Private Wealth Management’s first line of defense activities, as directed by a Manager within the function.

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.

Target pay: $68,000 - $83,000

How you will spend your time:

+ You will conduct quality control (QC) testing to document effectiveness of business controls and adherence to policies and procedures (FLOD).

+ You will manage the department library of policies and procedures.

+ You will maintain the Compliance & Oversight SharePoint page and dashboards.

+ You will manage Private Wealth’s document storage and retention systems and processes.

+ You will develop and provide reports, as directed.

+ You will prepare department committee meeting materials.

+ You will manage the Code of Ethics program for Private Wealth Management associates.

+ You will assist in the account review (Reg 9) program to Private Wealth Management.

+ You will conduct Regulatory reporting for Private Wealth Management.

+ Other duties as assigned.

We’re excited to talk with you if:

+ You possess a Bachelor’s degree in relevant field or combination of education and experience that provides an equivalent background.

+ You have 3+ years of applicable experience within Financial Services.

+ You have systems thinking and complex problem solving skills.

+ You have attention to detail, yet ability to grasp big picture.

+ You are highly organized and can effectively multi-task.

+ You are a great communicator with quality interpersonal skills.

+ You show proficiency in documenting business processes, policies and procedures.

+ You have exceptional written communication skills.

+ You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).

Bonus points if:

+ You have 1st and/or 2nd Line of Defense experience in risk management within a large financial institution.

+ You have knowledge regarding wealth management services.

+ You have an understanding of financial services enterprise risk frameworks and concepts.

+ You have general knowledge of risk control testing process design and program execution.

+ You have proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, Salesforce, SharePoint and Workday.

+ You have used software tools for business process mapping, analysis, and re-engineering.

+ You have working knowledge of applicable laws and regulations in wealth management (OCC).

Compensation Range:

$51,480.00 - $99,330.00

_The posted compensation range on this listing represents UMB’s standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information_

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.

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