Regional Compliance Officer - Key Investment Services (KIS)
About The Position
The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment. 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 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.
Nice To Haves
- FINRA Series 7 and 24
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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
