KeyBank · 1 day ago
KeyBanc Capital Markets, FINRA Registration Specialist
Remote, United States
Full-time
Remote
Entry, Mid Level
$26/hr - $29/hr
2+ years exp
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Responsibilities
Onboarding
Continuing Education
Blue Sheets, BlueSky
Monthly Supervisory Reports
U4 & U5 Submissions
CRD Reports
Annual Attestations
Documentation and follow up of KBCM Registration components
Creation and updating desk procedures
System testing
Development of action plan for new or revised rules and laws
Other miscellaneous responsibilities as directed by your manager
Subject matter expert in KBCM Registration systems and validation
Training responsibilities for new employees in FINRA Registration
OnBoarding execution & decision employee policy for OnBoarding
FINRA U4 and U5 Processing and Validation - Support the execution of and enhancements to the KBCM Registration Department’s processes and procedures including the verification of all On-Boarding requirements are met including fingerprinting, pre-hire regulatory checks and paperwork completion.
Desk procedures documentation used in the Registration Department and amend them when appropriate with management review
Organize and prioritize multiple ongoing competing tasks and projects.
Support the KBCM Compliance team and lines of businesses in registration matters when needed.
Develop and maintain working relationships with internal clients, staff and peers.
Other KBCM Registration duties and provide support on projects as assigned.
Ensure relevant compliance issues are documented, monitored and escalated, as needed.
Qualification
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Required
High school degree and equivalent experience within our industry or college degree.
2-4 years of compliance, regulatory, investment or insurance industry support experience (or other relevant work experience)
Working knowledge of securities and insurance industry regulations, specifically federal and state registration and licensing requirements
Working knowledge of Broker Dealer Registration platforms/program registration/licensing structure and controls
Comprehension of process mapping and execution
Demonstrated ability to work in complex databases with strong computer skills
Demonstrated ability to meet deadlines and exhibit strong time management skills
Demonstrated ability to work in self-directed manner with good organizational skills
Demonstrated ability to problem solve and exhibit strong analytical skills
Company
KeyBank
At KeyBank we’ve made a promise to our clients that they will always have a champion in us.
10,001+ employees
Funding
Current Stage
Late StageLeadership Team
Chris Gorman
Chairman, Chief Executive Officer, and President, KeyCorp
Holly Santoro
Executive Administrator to the Chairman & CEO
Recent News
2023-08-28
Company data provided by crunchbase
