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KeyBank · 11 hours ago

Regional Compliance Officer - Key Investment Services (KIS)

United States

Full-time

Remote

Senior Level

$71K/yr - $125K/yr

5+ years exp

Key Investment Services LLC is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is a non-banking affiliate of KeyBank National Association. The Compliance Officer plays a key role in ensuring compliance with regulatory and internal standards through branch inspections, training, and policy management.

Banking

Responsibilities

Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements

Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations

Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices

Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures

Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks

Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution

Participate in special projects, targeted reviews, and other initiatives to strengthen the firm’s compliance program

Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture

Qualification

ComplianceRisk ManagementAuditingSecurities Industry KnowledgeFINRA Series 7FINRA Series 24Analytical SkillsCommunication SkillsProject ManagementRelationship Building

Required

Bachelor's Degree or equivalent experience

Minimum 5 years of experience in compliance, risk management, auditing, or related fields (required)

Demonstrated ability to work independently and collaboratively in a regulatory environment (required)

Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets

Documenting findings and communicating risks through clear, concise reports

Applying sound judgment in evaluating complex compliance scenarios

Proactively identifying risk trends

Clearly conveying compliance requirements and findings to diverse audiences

Managing difficult conversations maturely

Building strong relationships across departments to support compliance initiatives

Identifying program improvement opportunities and designing effective solutions to address compliance challenges

Leading compliance-related projects and mentoring junior analysts

Staying current with regulatory changes and industry best practices