UBS - Global Wealth Management - AmericasPartner with the UBS Northern Ohio Market Management Team to drive proactive risk management and supervision within the market that currently consists of 10 branches.Drive initiatives related to sales supervision, compliance and business risk, including implementation and education.Manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes in place.Support branches in the Branch Review and Group Internal Audit process, visiting branches and working on action plans for those failed audit items.Partner with Compliance on all compliance matters, including providing input to policy and supporting communication of policies.Address systemic supervisory and emerging business issues, escalating as required.Develop and implement training on supervisory tools, new compliance bulletins and operational procedures.

Operational Risk Management - As subject matter expert, provide advice / consultation services to Key's Wealth, Investments and Capital Markets Technology and Services line of business on operational risk program management topics, including all activities associated with the business's risks, controls, testing, remediation, loss analysis, key risk indicators, reporting, and policy and procedure development. Perform oversight activities and assume responsibility for discouraging actions that may expose KeyCorp and its affiliates to losses, regulatory or reputation risks, or to risk levels that exceed desired risk appetite through its business activities.

Provide highly specialized advice and consultation on current and emerging legal, regulatory and compliance risk requirements as they relate to information barriers, conflicts of interest, personal trading, research related disclosures and restrictions and related issues. Maintain Firm Watch and Restricted Lists and Underwritten Deal List.