Nicole Rex

Experience

1. VP, Senior Compliance Manager

   KeyBank

   Feb 2023 — Present · Cleveland, OH, US

   For assigned lines of business and/or regulations, serve as the corporate compliance subject matter expert.•Partner with other members of the second line of defense and designated lines of business to identify risks, develop and execute assessments, provide guidance on control and testing design and execution, and advise on and monitor findings and associated remediation activities.•Actively participate in assigned business initiatives (i.e, new product development, revised processes or systems, development and/or oversight of consumer facing notices and disclosures) and projects to ensure that related regulatory obligations are appropriately addressed.•Proactively engage with partners within the first line of defense to promote understanding of complex regulatory concepts and associated compliance risks.•Assist in the development and maintenance of effective compliance policies, procedures and processes.•Accountable for oversight of line of business activities to determine compliance with applicable compliance rules, regulations and laws.•Research, interpret and assist in applying laws, regulations and regulatory guidance to relevant business processes. •Assist in the identification of training opportunities and course development.•Address regulatory actions and communications, following up and monitoring until satisfactory resolution is obtained.•Establish compliance standards through well-communicated guidelines •Participate in the monitoring of compliance programs and targeted testing, particularly with new regulatory requirements or system changes; assist with the development of appropriate corrective action to ensure adherence to applicable laws and regulations.•Maintain relationships with industry peers and regulatory bodies to determine/validate KeyCorp practices and develop recommended changes as appropriate.

Education

• Ohio University

  Bachelor of Business Administration, Management Information Systems, Business Law

  2008 — 2012