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KeyBank · 12 hours ago

Regional Compliance Analyst - Key Investment Services (KIS)

Brooklyn, OH

Full-time

Hybrid

Entry Level

$57K/yr - $87K/yr

1+ years exp

KeyBank is a federally registered bank holding company, and they are seeking a Regional Compliance Analyst for their Key Investment Services division. This role involves conducting onsite branch inspections, evaluating compliance with federal and state regulations, and communicating findings to stakeholders.

Banking

Responsibilities

Serve as a primary examiner for onsite branch inspections, including travel to registered locations in accordance with the firm’s inspection program

Execute assigned branch inspection and compliance review activities using established methodologies and professional judgment

Perform detailed documentation of inspection work, testing procedures, and results within designated systems and supporting work papers

Exercise independent judgment to identify potential risk areas during inspections and determine when additional inquiry or expanded testing is warranted

Clearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders

Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution

Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity

Provide compliance guidance and support to business partners, as needed

Support and lead various ad hoc compliance-related projects

Qualification

Compliance analysisRegulatory requirementsSecurities industry knowledgeRisk identificationDocumentation skillsJudgmentCollaborationCommunicationRelationship buildingProblem-solvingAdaptability

Required

Bachelor's Degree or equivalent experience

Minimum 1 year of experience in compliance, regulatory analysis, or related financial services roles

Proven ability to collaborate across teams and manage multiple priorities in a regulated environment

Basic 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

Staying current with regulatory changes and industry best practices