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Senior Compliance Manager - Governance and Reporting in Cleveland, OH at Key Bank- Corporate

Date Posted: 7/21/2020

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    127 Public Square
    Cleveland, OH
  • Date Posted:
    7/21/2020

Job Description

JOB BRIEF
The Governance and Reporting Compliance Manager leads the Compliance Governance and Reporting team within Compliance Risk Management. The Manager is responsible for assisting the applicable Compliance Executive in overseeing compliance risk mitigation and discouraging actions that may expose KeyCorp and its subsidiaries to regulatory, compliance, or reputational risks in excess of Key’s risk tolerance. This position will be responsible for managing Key’s compliance approach in several areas, including governance and reporting and overseeing processes that impact all areas of Compliance such as policies and procedures, metrics and issues resolution. He or she will serve as a liaison with other areas of Risk Management and regulatory agencies. This position will have oversight of compliance risk programs and policies including providing highly specialized guidance and oversight on current and emerging regulatory compliance risks. This position is responsible for the ongoing development and implementation of the Governance and Reporting program and coordinating with other groups within Key (1st, 2nd, and 3rd Line of Defense). The qualified candidate must be able to work independently and use sound judgment, taking into consideration risk tolerances of the assigned LOBs and Key’s overall risk appetite. This position will be responsible for leading a team of direct reports.

ESSENTIAL JOB FUNCTIONS
  • Lead processes and programs for the Compliance Risk Management Program, including LOB Procedure Review Process, Compliance Policies, Compliance Metrics Oversight, Compliance Training, Issues Management
  • Assist in setting strategy for monthly Compliance Risk Committee and prepare agenda, materials and presentations for same. Partner with Chief Compliance Officer and his/her directs for preparation of weekly Enterprise Risk Management Committee
  • Lead and/or oversee Exam Management efforts for Compliance Risk Management
  • Proactively identify process improvements or control gaps and facilitate necessary associated changes.
  • Keep abreast of new laws and regulations.
  • Provide independent review and challenge on various compliance activities and line of business activities.
  • Participate in or lead various projects related to mitigating risk to Key.
  • Responsible for staffing and developing processes to fully operate the Governance and Reporting Compliance Program.
  • Must demonstrate initiative, good judgment, partnership and leadership ability.
  • Providing thought leadership in continuous improvement of the Compliance Program.
  • Strong analytical, interpersonal, and verbal communication skills, including clear, concise and persuasive writing and presentation skills with the ability to influence and persuade all levels of employees in the organization.
  • Ability to thrive and execute in a complex environment.
  • Provide strong leadership, mentoring, and guidance to subordinates, peers and other members of the team as well as other members of Risk Management.
  • Respond to internal and external audits, exams, and requests for information.
  • Develop and maintain positive working relationships with internal clients, staff, peers, and LOB senior management.
  • Maintain relationships with industry peers and regulatory bodies.
  • Identify, respond and/or escalate risks as appropriate
  • Assist in the development of policies, standards, procedures and guidelines to align with corporate risk appetites, tolerances and policies.
  • Conduct review and challenge activities and escalate as warranted.
  • Support or direct project teams in the ongoing development and implementation of strategic plans and objectives, and regulatory changes.
  • Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders' needs are met.
  • Support other risk disciplines in risk identification, mitigation, and reporting.
  • Exemplify understanding of and implement the three-lines-of-defense model.
  • Perform other duties as required.

REQUIRED QUALIFICATIONS
  • Bachelor’s degree or comparable education required; Juris Doctorate, CRCM, a plus.
  • Minimum of 5-10 years of relevant industry experience; management experience preferred.
  • Extensive knowledge of the banking related statutes and regulations
  • In-depth practical knowledge of internal controls, risk assessments, compliance processes, and applicable techniques for the implementation of regulatory and legal requirements.
  • Strong relationship management and leadership skills, including the ability to work in a team environment and positively accept and lead through change.
  • Proven track record of integrity, strong ethics, and sound decision-making skills, including the ability to make decisions independently and quickly.
  • Ability to effectively communicate to lines of business and senior management, both in writing and verbally.
  • Strong attention to detail coupled with strong problem-solving and analytical skills.
  • Proven ability to have, maintain, and establish strong contacts within the industry to be aware of current industry issues and practice.
  • Proven ability to think proactively and drive results through people.
  • Strong project management and/or continuous improvement skill.


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.

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