Fiduciary Compliance Testing Analyst

Corporate Compliance Services partners with UMB management in its obligation to effectively manage compliance and related risks within the UMB family of corporations.

This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs.

As a Compliance Testing Analyst you will assist the Compliance Testing Manager in carrying out the testing function of UMB Financial Corporation's Compliance Management System, with an emphasis on the bank's fiduciary activities relating to both wealth management and corporate-institutional business. This position will conduct transaction and control testing to validate regulatory compliance with policies, regulations and laws that govern fiduciary activities of UMB Financial Corporation. You will have the opportunity to participate in meetings with business units, individually or in a group, to identify gaps within current practices and regulatory requirements. You will identify and communicate compliance deficiencies and potential issues to Corporate Risk Management and business partners and communicate efficiencies and process enhancements to correct deficiencies and comply with fiduciary requirements.

Being a UMB associate is unlike working at any other company. You are not only valued for the work that you do, but who you are. You'll be encouraged to bring your whole self to work, being valued for exactly who you are. You'll also have the opportunity to serve your community alongside your team. At UMB, we do big business, but we don't forget that the little things matter the most.

How you'll spend your time :

Develop and maintain rapport with lines of business, and other 2nd line and 3rd line stakeholders, to maintain a strong Compliance Management Program

Maintain a strong working knowledge of laws and regulations specific to fiduciary activities of national banks, including 12 CFR 9, 12 CFR 12, ERISA, and other applicable laws.

Plan, develop and execute compliance testing, including control design and performance reviews and transactional testing covering the fiduciary activities of UMB Financial Corporation.

Manage time effectively to assist in completing the annual test plan

Lead and participate in meetings amongst stakeholders to discuss findings; draft and distribute a written report of the review final results

We're excited to talk with you if you have :

• Associate degree or equivalent in Accounting, Finance or Business Administration (w / strong emphasis in Accounting or Finance) or 2 years compliance, audit or quality control experience with a financial institution, consulting firm, or regulatory agency

Extra bonus points if you have :

Examination experience with a state or federal regulatory agency

Currently hold or actively pursuing Certified Fiduciary and Investment Risk Specialist (CFIRS) designation

Compensation Range :

$51,480.00 - $99,330.00

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.

Are you ready to be part of something more?

You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.

UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to talentacquisition@umb.com to let us know the nature of your request.

If you are a California resident, please visit our Privacy Notice for California Job Candidates () to understand how we collect and use your personal information when you apply for employment with UMB.

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