53 applicants

Company

KeyBank · 4 hours ago

KIS Sr Compliance Manager

United States

Full-time

Remote

Senior Level

$100K/yr - $150K/yr

5+ years exp

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Responsibilities

Supervise the daily activities of the regional compliance staff within the firm’s Compliance Department to ensure compliance with all regulatory requirements set forth by SEC, FINRA and state securities and insurance divisions.

Manage the annual branch examination process and schedule among analyst team and ensure timely submission of summary reports on these exams.

Manage, lead and coordinate analyst staff in daily responsibilities and individual areas of expertise.

Lead the continuous review of the branch examination process to identify efficiencies and potential improvements in accordance with industry regulatory environment and coordinate the implementation of enhancements.

Assist with facilitation of customer complaint, arbitration and litigation investigation, resolution and documentation, and ensure required regulatory filings are processed in a timely manner.

Assist with the coordination of the customer complaint investigation process among regional analyst staff to provide timely identification and escalation of matters.

Serve as the firm’s primary Compliance Department contact for consultation relative to administrative/operational firm issues.

Gather and provide information necessary to comply with requests from regulatory, legal and audit personnel.

Assist with the investigations of situations involving sales practice concerns, document findings of those investigations, and present summary reports with recommendations for action to senior management.

Conduct training on relevant compliance topics through new hire orientation training sessions, specialized training for identified weaknesses in assigned region and throughout firm, ongoing training in daily contacts with assigned region, and training sessions with Compliance Department and other firm administrative personnel in individual areas of expertise.

Supervise the review and approval process for OSJ advertising and communications with the public among analyst staff.

Coordinate, facilitate and communicate necessary updates to firm policies and procedures as required.

Actively participate in the continuous development of proactive reporting (utilizing summary information from existing processes – branch exams, exception report reviews, customer complaints) to provide consistent and reliable information to senior management on high-level risks.

Seek to identify additional methods to effectively detect and report on potential compliance risks (sales trends, product concentrations, policy/procedure gaps, etc.).

Share best practice recommendations with administrative areas of the firm and sales management and provide ongoing support to administrative and field personnel regarding compliance issues.

Serve as the primary Compliance Department contact and subject matter expert for providing guidance to firm administrative and operational areas relative to transactional documentation, trading, service, and operations issues.

Serve as a Compliance Department designee on firm and enterprise-wide project teams for operational projects.

Participate in special projects as assigned.

Qualification

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Compliance ManagementFINRA Series 7FINRA Series 24Supervisory ExperienceInvestment Industry ExperienceSecurities KnowledgeBrokerage OperationsTraining Skills

Required

Bachelor’s Degree in a business-related field or equivalent experience

5+ years of progressively responsible compliance, regulatory or investment industry experience

3+ years supervisory experience

FINRA Series 7 and Series 24

Solid knowledge of the securities, insurance and investment advisory industries, including SEC, FINRA and state insurance and investment advisory laws, rules and regulations

Solid knowledge of brokerage industry operations and service functions

Working knowledge of bank channel non-deposit investment program structure and controls

Strong written and verbal communication skills

Demonstrated ability to problem solve and exhibit strong analytical skills

Demonstrated ability to work in self-directed manner with good organizational skills

Proven ability to foster open communication