Full time
UMB Financial Corporation
Kansas City, MO, USA
As a 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 Fri., and working in the office Mon., Tues., Wed. & Thur. How you will spend your time: You will develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes. You will provide suggestions to improve policies/procedures, business practices, and/or compliance related controls. You will become a supportive resource for questions related to current policies and procedures. You will assist in the documentation and maintenance of the department’s policies and procedures. You will conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies,...


