Regional Compliance Analyst - Key Investment Services (KIS)
About The Position
Under general administrative direction, the Compliance Analyst uses knowledge and skills obtained through training, experience, and/or specialized education to conduct onsite branch inspections and related compliance reviews. This role requires regular travel and focuses primarily on evaluating supervisory systems, physical office settings, records and documentation, and conducting employee interviews to assess adherence to firm policies and procedures, as well as applicable federal and state regulations. The Compliance Analyst is responsible for thorough documentation of inspection activities and clear communication of results to business and compliance stakeholders. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency KeyCorp Insurance Agency USA Inc. KIS primarily operates out of KeyBank retail bank branches and provides KeyBank retail customers brokerage, insurance, and investment advisory services through KeyBank National Association’s retail bank branch across the United States.
Requirements
- 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.
Nice To Haves
- Series 7 and 24 preferred or the ability to obtain them within six months of hire.
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.
Benefits
- This position is eligible to earn a base salary in the range of $57,000.00 - $87,000.00 annually.
- Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.
- Please click here for a list of benefits for which this position is eligible.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Number of Employees
5,001-10,000 employees
