As the Senior Compliance and Oversight Analyst , you will assist in the execution of an effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. This is a hybrid position, working from home Mon. & Fri., and working in the office Tues., Wed. & Thur.

How you will spend your time:

• Develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes.

• Provide suggestions to improve policies/procedures, business practices, and/or compliance related controls.

• Become a supportive resource for questions related to current policies and procedures.

• Assist in the documentation and maintenance of the department’s policies and procedures.

• Conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense).

• Assist with internal and external regulatory inquiries, examinations, and other compliance related audits.

• Develop and deliver training for line of business, communicating policies and compliance requirements.

• Assist with resolving escalated or complex issues.

• Execute the Code of Ethics program for Private Wealth Management associates.

• Responsible for processing regulatory filings.

• Reviews and approve the departments marketing and advertising materials.

• Partner with Legal, Corporate Compliance, other lines of business and Leadership as needed.

• Other duties as assigned.

We’re excited to talk with you if:

• You possessa bachelor’s degree in relevant field or combination of education and experience that provides an equivalent background.

• You have 5+ years of applicable experience within Financial Services.

• You have regulatory compliance experience with a Registered Investment Advisory Firm.

• You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.

• You demonstrateproficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor).

• You have proficiency in documenting business policies, and procedures.

• You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills.

• You demonstrateability to define problems, collect data, establish facts, and draw valid conclusions.

• You show excellent time management skills and the ability to work independently.

• You are proficient in the Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint).

• You have the ability to adapt and work within multiple business support systems.

Bonus points if:

• You have 1st and/or 2nd Line of Defense experience in risk management.

• You understand policy, framework and procedure development.

• You have managed and/or developed a risk program.

• You have an understanding of RIA risk frameworks and concepts.

• You have 2+ years’ experience in Risk Management.

• You have 2+ years working with external regulators.

• You have specific knowledge regarding wealth management services and financial planning.

• You show proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, MCO, Black Diamond and/or Salesforce.

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

Compensation Range:

$57,760.00 - $124,170.00

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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