UMB Bank Milwaukee, WI, USA
Sep 22, 2017Full time
Why UMB: Introduction: Duties and Responsibilities: Oversee UMB Fund Services¿ compliance programs, policies and procedures and provide counsel and guidance to internal clients and fund client Chief Compliance Officers. Key Functions: - Conduct quarterly Sarbanes-Oxley disclosure controls and procedures meeting. Update controls and procedures. Conduct due diligence and prepare sub-certifications for fund clients. - Manage all aspects of Rule 38a-1 compliance. Monitor and update policies and procedures. Prepare quarterly and annual reports for fund clients¿ CCOs and boards of directors and attend meetings as necessary. Coordinate and assist with UMBFS¿ internal compliance testing program. - Coordinate and host on-site visits for fund clients¿ CCOs. Coordinate responses to due diligence questionnaires. - Assist with production of documents and coordination of response for regulatory exams. - Assist related business lines on compliance matters and audit findings. - Assist with analysis and implementation of applicable regulatory initiatives. Work with relevant business lines to implement solutions and communicate to clients and CCOs. Minimum Requirements: - Bachelor's Degree. - Five years in a directly related compliance, audit, operations or client servicing role in the financial services industry Preferred Requirements: Minimum Knowledge and Skills: - Demonstrated initiative working both independently and within a team - Excellent verbal and written communications skills - Ability to meet deadlines and balance priorities for a multiple internal and external clients - Strong influencing, collaboration and client relations skills - Exceptional organizational and problem solving skills - Strong detail orientation with ability to multi-task in a fast paced environment Preferred Knowledge and Skills: - Previous mutual fund audit and/or compliance experience with knowledge of current mutual fund compliance regulations At UMB: We strive to deliver the unparalleled customer experience, and show customers they can count on more from UMB. The same is true for our associates. You can count on more benefits, more training, more support, and more opportunity! What you'll get: Unique Benefit Programs : We offer a great benefits package including several unique programs like an incentive-based wellness program, parental leave, adoption assistance and health care for you, your spouse or domestic partner, your dependents and even your pets!! Professional Development: We provide our associates with the tools they need to support their career goal - including training, tuition reimbursement and career guidance. Community Involvement: Giving back is a big part of who we are! We support several great causes throughout the UMB footprint. We even offer Volunteer Time Off, which allows an associate to dedicate 16 hours a year to a worthy cause of their choice. Culture of Diversity and Inclusion: We are committed to building a strong UMB by hiring talented, high-performing associates with diverse backgrounds. Maybe you simply want to work at a company where you have a voice and an opportunity to share your unique ideas. Please visit us at umbfs.com to view a list of all available opportunities. UMB is an Equal Opportunity Employer. Principals only. No 3rd parties or agencies, please.