Mgr UMBFS Compliance

As our UMBFS Compliance Manager, you will oversee UMB Fund Services' compliance programs, policies and procedures and provide counsel and guidance to internal clients and fund client Chief Compliance Officers.

How you’ll spend your time:

• Lead internal controls and compliance testing throughout UMBFS
• Manage associates in internal controls and compliance testing roles
• Lead Grant Thornton SOC II testing each year and coordinate work among internal controls and compliance testing team
• Conduct quarterly UMBFS 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 host on-site visits for fund clients' CCOs.
• Coordinate responses to due diligence questionnaires.
• Coordinate response to SEC for annual admin grid update.
• Coordinate exams conducted by external regulatory bodies and testing engagements completed by internal partners, including Corporate Audit Services and Corporate Compliance
• Lead compliance committee meetings. Maintain compliance issues tracking database as well as tracking remediation progress and producing trends reports. Conduct annual review of the compliance program for executive management.
• Develop and maintain a first line of defense program appropriate for the products and services offered by UMBFS
• Draft and sustain a program of policies, procedures and other similar documentation necessary to control risk and comply with applicable regulatory requirements  
• Create and provide annual and new-hire compliance training to all staff.
• 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.

We’re excited to talk with you if:

• You have a Bachelor’s degree in accounting, Finance or Business Administration
• You have a minimum of ten (10) years in a directly related compliance, audit, operations, or risk management role in the financial services industry
• You have a minimum of five (5) years’ experience in Mutual Fund administration and compliance

Compensation Range:

$110,250.00 - $235,810.00

The posted compensation range on this listing represents UMB’s standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information

UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.

Are you ready to be part of something more?
You're more than a means to an end—a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.

UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to [email protected] to let us know the nature of your request.

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