Compliance Analyst IV

Job Title: Compliance Analyst IV

Location: 2025 ONTARIO ST/MAY CO BLD, OH

Reference #: PS221513

 

Training Provided

-Certification Training; from list of Preferred Qualifications
-C-CAP (Controls & Compliance Assessment Process) Portal User and Administrator Training
-Working knowledge of regulations/laws/rules that are topics for self-testing
-Expert knowledge of internal control methodologies, (COSO)

 

Required Skills

-Bachelors Degree (equivalent experience may be considered)
-10 years of compliance, audit, or industry-related experience
-Broad-based knowledge of banking and securities laws, rules, and regulations.
-Broad-based knowledge of banking and brokerage business processes and products.
-Knowledge of industry, including laws and regulations
-Knowledge of specific LOB (ie:  brokerage, asset management, etc.) and its processes.
-Sound decision-making skills
-Solid written and verbal communication skills
-Sound understanding of compliance risks
-Sound understanding of internal control frameworks (e.g., COSO and COBIT)
-Strong research skills
-Organization skills
-Self motivation
-Ability to independently make decisions
-Proven ability to work with high level clients and deal with complex issues
-Proven ability to 'sell' difficult concepts and issues
-Relationship building/management

 

Equipment Used

-PC, Printer
-Software:  Corporate Intranet, C-CAP Portal, KEIS Heirarchy

 

Marginal Job Functions

-Assists in recruiting & candidate interviewing process.
-Leads or assists on project initiatives, such as continuous improvement activities.
-Other complex assignments as assigned.

 

Preferred Skills

Advanced degree
At least one of the following:
Certified Internal Auditor (CIA)
Certified Public Accountant (CPA)
Certified Financial Services Auditor (CFSA)
Certified Information Systems Auditor (CISA)
Certified Regulatory Compliance Manager (CRCM)
Certified Trust Compliance Professional (CTCP)
Certified Fiduciary and Investment Risk Specialist (CFIRS)
NASD Series 7, 65 or 66

 

Essential Job Functions

Performs risk assessments of KeyCorp business units and support areas adherence to significant regulatory compliance topics such as GLBA, Fair Lending, Depository, Brokerage and Investment Advisory, Regs W & O. Maintains the Corporate AML Risk Assessment.  Collaborates and educates lines-of-business, support areas, and corporate functions on compliance risks and risk mitigation techniques.  Documents the quantification of risks, including the assessment of the quality of risk management.  Supervises and coaches junior compliance analysts.

-Identifies and assesses relevant compliance risks within the most complex Lines of Businesses or Support areas (LOB), includes other subject matter experts as needed.  Maintains documentation on those compliance risk assessments.
-Facilitates risk and control self-assessments.  Interviews and surveys business units, collects transaction volume data to quantify risk levels.
-Models Inherent and Residual risks, maintains appropriate risk universe information.  Maintains change control over risk scores and supporting documentation.  Identifies excessive levels of residual risk and deficiencies in risk mitigation.
-Establishes or enhances self-testing programs used to validate the operating effectiveness of internal controls that ensure adherence to laws, rules, and regulations.  Collaborates with the C-CAP self-testing team to ensure effective and efficient testing processes.
-Maintains and enhances the enterprise-wide process, methodology, data collection tools. Provides communications and education on its proper use. 
-Strategize on risk based changes and other enhancements to compliance programs with the Chief Compliance Officer, Regulatory Compliance Officers, Compliance Managers, and others as appropriate.
-Develop a level of knowledge of regulatory requirements to identify risk factors for inclusion in the assessment process and act as a risk expert.  Research laws, regulations, and FFIEC examination guidance.
-Usually supervises a staff; Responsible for providing oversight, development, and mentoring to less experienced staff members.  Evaluates staff performance, conducts job interviews,etc.

 

Interested candidates are invited to complete an online application and submit their resume at www.key.com/careers or by using the link below. Be sure to reference position number: PS221513.

KeyCorp is proud to be named to DiversityInc. Magazines Top 50 Companies for Diversity in 2005.

  KeyCorp is an Equal Opportunity Employer M/F/D/V. 

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