Sr Compliance Manager - Trust and Fiduciary

Location:

About the Job

TheSr. Compliance Manager - Trust & Fiduciary is responsible for leading and executing independent compliance oversight across KeyBank's Wealth and Fiduciary business lines. Operating within the broader Compliance Risk Management organization, this role plays a key part in ensuring regulatory compliance and effective risk management over all of the fiduciary activities that KeyBank engages in.

In partnership with the Compliance Director, this position will assist in the growing, formalization and socialization of a robust 2LOD Compliance oversight program over the fiduciary space. Further, this role oversees the execution of reviews, mentors other teammates, and ensures the delivery of high-quality documentation and reporting, including credible review and challenge over line of business risk taking activities and decision. The role may also support issue validation, corporate compliance projects and programs, and contribute to initiatives that enhance the overall Wealth & Fiduciary Compliance Program.

Key Responsibilities

• Conduct risk assessments across KeyBank's wealth and fiduciary delivery channels in collaboration with the Compliance Director.
• Design and execute risk-based compliance monitoring reviews across fiduciary products, services, and processes.
• Perform regulatory research and evaluate business controls to determine appropriate testing approaches.
• Prepare comprehensive documentation, including risk assessments, review and challenge, and formal monitoring reports outlining findings and conclusions.
• Track and report on change management initiatives, providing oversight and risk identification with programmatic changes.
• Escalate issues identified during reviews and support issue documentation, tracking, and resolution.
• Contribute to program enhancements by leveraging industry best practices, regulatory developments, and collaboration with the Risk Evaluation and Assurance team, which performs independent second-line testing.

Required Qualifications

• Bachelor's degree in Finance, Accounting, Business, or a related field.
• Minimum of 5 years of experience in banking compliance, internal audit, or as a financial institution examiner.
• Strong understanding of12 CFR 9and related OCC regulatory expectations.
• In-depth knowledge of fiduciary and trust risk management, including account administration best practices.
• Proficiency in compliance risk assessments and monitoring methodologies.
• Excellent written and verbal communication skills, including report writing and presentation delivery.
• Strong organizational skills and attention to detail.

Preferred Qualifications

• Professional certifications such asCFIRS (Certified Fiduciary & Investment Risk Specialist),CTFA (Certified Trust and Fiduciary Advisor), or similar.
• Experience in wealth management or fiduciary services compliance.
• Familiarity with issue management and regulatory exam processes.

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $130,000 to $160,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.

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