Compliance Analyst-Fiduciary

UMB Financial
Kansas City, Texas, Illinois, Colorado, California, Arizona, Missouri
Workplace: HybridFull timeUSD 67,869 - 99,836Function: Legal, Risk & ComplianceExperience: 2+ yearsEducation: bachelorsSkills: []

Support UMB’s Fiduciary Compliance Management Programs by performing compliance monitoring, reviewing first-line control quality, and conducting risk assessments across third parties used by business lines. Analyze substantiated complaints for proper resolution and potential thematic issues, and evaluate incentive compensation plans and marketing materials for compliance considerations. Partner with Corporate Compliance Services to help ensure regulatory expectations are met and compliance risk is effectively managed.

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UMB Financial
UMB Financial
1 month ago

Compliance Analyst-Fiduciary

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Source: Company careers pageValidated by: Fursa AI
Status: Live

Job Summary

Support UMB’s Fiduciary Compliance Management Programs by performing compliance monitoring, reviewing first-line control quality, and conducting risk assessments across third parties used by business lines. Analyze substantiated complaints for proper resolution and potential thematic issues, and evaluate incentive compensation plans and marketing materials for compliance considerations. Partner with Corporate Compliance Services to help ensure regulatory expectations are met and compliance risk is effectively managed.
Location: Kansas City, Texas, Illinois, Colorado, California, Arizona, Missouri
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

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

Pay and Benefits

Salary: USD 67,869 - 99,836
Perks:Paid Leave401kPaid HolidaysHealth InsuranceDentalVisionAdoption AssistanceEmployee Assistance

Key Requirements

  • •Bachelor’s degree or equivalent work experience in Accounting, Finance, or Business Administration.
  • •At least 2 years of experience in compliance, risk management, audit, monitoring, or internal control-related work.
  • •Experience in a fiduciary investment, trust, wealth management, or investment advisory context (preferred).
  • •Certified Fiduciary Investment Risk Specialist (CFIRS) or Certified Internal Auditor (CIA) (preferred).
Experience:2+ yearsFiduciaryTrustWealth managementInvestment advisoryComplianceRisk managementAuditInternal controls
Education:Bachelor's
Certifications:CFIRSCIA

Company Brief

UMB Financial
UMB Financial is a diversified financial holding company offering commercial banking, treasury management, payment solutions, trust services, and asset servicing. It serves businesses, institutions, and individuals through banking and financial products across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Kansas City, United States
Founded: 1913
WebsiteLinkedIn