Hybrid Senior Compliance Manager – Investment Risk

Posted 3 months ago

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About the role

  • Senior Compliance Manager overseeing investment risk for KeyBank's private bank. Independently measure, monitor, and assess risks across fiduciary investment activities and enhance risk frameworks.

Responsibilities

  • Independently measuring, monitoring, and assessing risks across fiduciary investment activities
  • Provide credible challenge, identify emerging issues, and escalate concerns to senior management when necessary
  • Oversee the risk management of a diverse range of investment products—including equities, fixed income, alternative funds, and managed solutions
  • Work closely with line of business partners and research analysts in the Chief Investment Office
  • Develop and maintain a deep understanding of fund and portfolio risk profiles
  • Enhance and innovate risk oversight frameworks and methodologies
  • Ensure compliance with internal policies and regulatory expectations
  • Conduct targeted reviews and deep dives into emerging risk areas and their potential impact on the business
  • Oversee investment risk for third-party equity, fixed income, and liquid alternative fund managers, including specialized solutions and separately managed accounts
  • Utilize industry-standard tools (e.g., FactSet, Morningstar, Bloomberg) to analyze investment risks and challenge assumptions
  • Independently conduct monitoring reviews of equity and fixed income funds presented by the Chief Investment Office
  • Identify, assess, and monitor investment risks, providing credible challenge and escalating key issues to senior management
  • Partner with investment and risk teams to maintain a deep understanding of fund and portfolio risk profiles
  • Enhance and innovate risk oversight processes to ensure compliance with investment, liquidity, and counterparty risk policies
  • Perform deep-dive analyses on emerging risk areas and evaluate their potential impact on the business
  • Assist in other Compliance Risk tasks across the Compliance Risk Management Space, as needed
  • Participate and lead formal testing/monitoring

Requirements

  • Bachelor’s degree in Finance, Economics, Risk Management, or a related field
  • 5+ years of experience in investment risk, compliance, or asset management
  • Strong understanding of investment products, including mutual funds, SMAs, and alternative investments
  • Proficiency with risk and research tools such as FactSet, Bloomberg, and Morningstar
  • Demonstrated ability to independently assess risk and provide credible challenge
  • Excellent analytical, problem-solving, and communication skills
  • Strong attention to detail and ability to manage multiple priorities in a fast-paced environment
  • Preferred: Advanced degree (MBA, MS Finance, etc.) or professional certifications (e.g., CFA, FRM)
  • Preferred: CFIRS or other like certifications
  • Preferred: Experience working in a private bank or wealth management environment
  • Preferred: Familiarity with regulatory requirements related to investment risk and compliance

Benefits

  • 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.
  • eligibility for short-term incentive compensation
  • eligibility for deferred incentive compensation
  • list of benefits for which this position is eligible (click here)

Job title

Senior Compliance Manager – Investment Risk

Job type

Experience level

Senior

Salary

$130,000 - $160,000 per year

Degree requirement

Bachelor's Degree

Location requirements

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