Sr. Compliance Officer - Investment Risk

Location:

The Sr. Compliance Officer Investment Risk plays a critical role in independently measuring, monitoring, and assessing risks across fiduciary investment activities. This position ensures effective risk oversight by providing credible challenge, identifying emerging issues, and escalating concerns to senior management when necessary.

Working within the Compliance Risk Management organization, you will oversee the risk management of a diverse range of investment products-including equities, fixed income, alternative funds, and managed solutions-offered by Key Private Bank.

As part of theKPB Wealth Compliance team, you will work closely with material business unit leadership and research analysts in the Chief Investment Office to:

• 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
• Provide credible review and challenge as a Second Line of Defense subject matter expert
• Conduct targeted reviews and deep dives into emerging risk areas and their potential impact on the business

Key Responsibilities

• 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

Required:

• 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)
• CFIRS or other like certifications
• Experience working in a private bank or wealth management environment
• Familiarity with regulatory requirements related to investment risk and compliance

COMPENSATION AND BENEFITS

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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