Sr Compliance Manager - Fiduciary Testing

Location:

About the Job

TheCompliance Manager - Testing (Fiduciary & Trust)is responsible for leading and executing independent compliance testing reviews 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.

In partnership with the Compliance Director, this role helps shape the testing strategy, oversees the execution of reviews, mentors other testers, and ensures the delivery of high-quality documentation and reporting. The role may also support issue validation and contribute to initiatives that enhance the overall Wealth & Fiduciary Compliance Testing 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 testing and monitoring reviews across products, services, and processes.
• Perform regulatory research and evaluate business controls to determine appropriate testing approaches.
• Lead testing reviews and provide guidance to other testers; may also assist with portions of other reviews.
• Prepare comprehensive documentation, including detailed workpapers and formal reports outlining findings and conclusions.
• Track and report on review progress, including updates to testing plans and change management.
• 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.

Required Qualifications

• Bachelor's degree in Finance, Accounting, Business, or a related field.
• Minimum of 5 years of experience in banking compliance testing, 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.
• Proven experience leading compliance testing or audit teams.
• Proficiency in compliance testing methodologies and risk-based review frameworks.
• 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.

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.