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)
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