Compliance Analyst-Fiduciary

Corporate Compliance Services partners with UMB management in its obligation to effectively manage compliance and related risks within the UMB family of corporations. 

This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs. 

As a Fiduciary Compliance Analyst, you will assist with the ongoing administration and execution of the Fiduciary Compliance Management Programs.

How you’ll spend your time:  

• Perform compliance monitoring to validate the effectiveness of compliance policies and procedures and regulatory requirements.
• Review and assess the first line of defense quality control activities for completion, appropriateness of design, and escalate concerns when appropriate.
• Perform risk assessments over third parties used by the lines of business.
• Review substantiated complaints for proper resolution and determine if thematic concerns exist. 
• Review incentive compensation plans and marketing materials for compliance considerations.

 We’re excited to talk with you if you have:  

• You have a Bachelor's degree or equivalent work experience in Accounting, Finance or Business Administration.
• You have at least two (2) years’ experience working in a compliance, risk management, audit, monitoring or internal control related capacity.

Bonus points if:

• You are a Certified Fiduciary investment Risk Specialist (CFIRS) or Certified Internal Auditor (CIA)
  You have experience supporting trust, fiduciary, wealth management, or investment advisory activities

Compensation Range:

The posted compensation range on this listing represents UMB’s good faith and reasonable estimate based on its budget and what it expects to be the starting pay for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. 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.

Are you ready to be part of something more?
You're more than a means to an end—a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.

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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