About KeyBank

KeyBank is a leading national bank committed to helping communities thrive with innovative financial solutions. With a strong focus on wealth management and trust services, KeyBank provides exceptional opportunities for compliance professionals to make a real impact. Join our second line of defense team in Brooklyn, Ohio, and contribute to ensuring regulatory excellence across our wealth management operations.

Position Summary

The Compliance Officer – Wealth Management and Trust Testing role is pivotal in KeyBank's Risk Evaluation and Assurance Program (REA Program). As part of our compliance risk management function, you'll design and execute testing and continuous monitoring to uphold compliance with wealth management and trust/fiduciary laws. Ideal for autonomous professionals with auditing experience, this position offers collaboration on high-impact projects while challenging the status quo in risk management.

Key Responsibilities

Core Duties

• Serve as a second-line-of-defense expert, evaluating wealth management and trust compliance risks through assessments and control testing.
• Independently execute risk-based monitoring, testing, analysis, and reporting to ensure sustainable risk processes.
• Leverage knowledge of trust products, private banking, and regulations like 12 CFR 9 to scope evaluations and design testing plans.
• Use data analysis tools (Excel, Tableau, SAS) to quantify risks and identify control gaps.
• Document findings in concise reports, escalate issues, and track remediation.
• Review policies for consistency with OCC expectations and banking laws.
• Build relationships with senior management, peers, and internal audit.

Required Qualifications

Essential Requirements

• Bachelor's degree and 3+ years in wealth management compliance, risk, or audit with focus on risks/controls.
• Strong knowledge of wealth management products (trust, securities) and fiduciary regulations.
• Excellent verbal/written communication for diverse audiences.
• Interpersonal skills for team collaboration.
• Critical thinking, analytical, and ethical standards.
• Self-motivated adaptability in fast-paced settings.

Preferred Qualifications

• Certifications like CFIRS or CTFA.
• Risk-based auditing experience in wealth management.
• Proficiency in advanced data tools (Excel, PowerPoint, ACL).

Why Join Us

At KeyBank, you'll advance your career in a dynamic environment fostering continuous learning and innovation. Enjoy collaborative culture, professional growth, and the chance to safeguard our clients' interests through top-tier compliance. Apply now for Compliance Officer – Wealth Management and Trust Testing jobs in Brooklyn, OH, and be part of KeyBank's commitment to excellence in banking careers.