Ethics Program Compliance Officer in Cleveland, OH at Key Bank- Corporate

Date Posted: 11/14/2019

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    127 Public Square
    Cleveland, OH
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    11/14/2019

Job Description

ABOUT THE JOB

The Ethics Program Compliance Officer will contribute professional expertise to a team of risk professionals supporting Key’s Ethics Program. The person will provide specialized advice and consultation on current and emerging requirements related to regulations, laws, and rules affecting employee misconduct, as well as assist with the risk assessment process and control standards. The person will be responsible for analysis, monitoring and testing of risk data, recommending mitigating actions, and leading risk projects as assigned, which address efforts to mitigate and discourage actions that may expose KeyCorp and its affiliates to regulatory, compliance, strategic or reputation risks through its business activities which should be consistent with KeyCorp's Compliance Risk Policies and Program requirements.


ESSENTIAL JOB FUNCTIONS

  • Provide specialized advice on projects and/or activities that ensure compliance with applicable federal, state and local laws and regulations: monitoring and surveillance activities; data gathering and reporting; evaluate metrics to determine potential trends; review of LOB policies and procedures; and quality assurance;
  • Provide independent oversight of internal investigations related to employee misconduct through review and challenge activities and escalation, including independent testing as required;
  • Identify, monitor, and resolve exceptions related to applicable Compliance Risk Systems (e.g., Event Collection, Governance Risk Compliance (GRC), etc.);
  • Continuously evaluate risks and controls. Work with the senior LOB leaders to identify gaps and inform solutions that minimize conflicts of interest. Follow through to ensure appropriate corrective action is taken to sufficiently address any gaps;
  • Evaluate the applicability of changes to regulations, laws, and guidance that impact Key’s Ethics Program, and help to implement solutions to come into compliance with the new requirements;
  • Identify, respond and/or escalate risks as appropriate;
  • Effectively and professionally interact with senior LOB managers, agency personnel, internal legal counsel, internal risk review personnel as well as other Compliance risk peers;
  • Serve as a SME on current and emerging rules and regulations for particular subject areas, including, but not limited to, conflicts of interest, anti-bribery and corruption, whistleblower laws, procurement lobbying, and political activity;
  • Assist with review of the line of business policies and procedures;
  • Assist with development and update of Ethics Program policies, procedures, and program documentation;
  • Assist with internal and external audit, examination, regulatory inquiry and investigation requests for information. Also, assist in the evaluation of audit and examination findings, implementation of corrective action and needed responses;
  • Monitor and facilitate internal and external audit and exam management routines to help ensure adequate preparation and expected outcomes;
  • Provide support and process maintenance to help ensure highly effective communication practices are in place with key business partners, within risk management, across the corporation and with regulatory agencies; and
  • Develop detailed MIS reporting.


  • An Undergraduate degree is required, advanced degree/s desired and would be a plus
  • Minimum of 3-5 years of relevant industry and professional experience
  • Extensive knowledge area of expertise along with the associated operations including the related rules and regulations of the financial services industry to include: OCC, FRB, CFPB, state law and other pertinent regulations
  • In-depth practical knowledge of internal controls, risk assessments and compliance and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes
  • Has high ethical standards and ability to maintain confidentiality
  • Proficient in Microsoft Office tools such as Excel, Access, and the proven ability to learn how to use other unique technologies
  • Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Compliance Risk and line of business evolves and grows
  • Proven ability to work in a team environment
  • Sound decision-making skills; able to make decisions independently
  • Solid written and communication skills
  • Sound understanding of compliance risks
  • Understanding of internal control frameworks
  • Strong research skills coupled with strong problem solving/analytical skills and ability to effectively summarize findings
  • Organizational skills and attention to detail
  • Self-motivated


PREFERRED QUALIFICATIONS

  • Audit Background
  • Proficient with Tableau


FLSA STATUS:Exempt

KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to engaging a diverse workforce and sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

38210BR

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