Senior Central Supervision Principal-5

KeyBank•Brooklyn, OH

11d•$69,000 - $105,000•Hybrid

About The Position

The Senior Central Supervision Principal serves as the Designated Principal for a group of registered representatives within the bank's broker-dealer channel. This role is responsible for the supervision and surveillance of brokerage, advisory, and insurance sales activities, ensuring compliance with regulatory standards and firm policies. The Senior Central Supervision Principal collaborates closely with Sales Leaders and registered representatives, acting as a key compliance and supervisory resource across assigned territories.

Requirements

Bachelor's Degree in business administration or related field (preferred) OR equivalent experience (required)
5+ years of experience in securities supervision or compliance within a brokerage or bank-based brokerage firm or equivalent work experience. (preferred)
FINRA License S7 (required)
FINRA License S63 (required)
FINRA License S65 (required)
FINRA License S66 (required)
FINRA License S24 (required)
FINRA License S53 (required)
Health, Life, and Variable Insurance licenses for applicable states (required)
Strong understanding of a wide range of investment products, including annuities and insurance, and their suitability for various client needs.
Deep knowledge of SEC and FINRA rules and regulations, ensuring all supervisory activities align with industry standards.
Ability to oversee and review trading, advisory, and insurance activities to ensure compliance with firm policies and regulatory requirements.
Skilled in investigating and resolving customer complaints, including direct client engagement and collaboration with compliance teams.
Experience in responding to internal and external audits and completing required compliance certifications.
Proficient in Microsoft Office applications and web-based compliance portals used for supervision, reporting, and communication.
Excellent communication skills, including the ability to present confidently in meetings and training sessions.
Demonstrated ability to build and maintain productive relationships with registered representatives, Sales Leaders, and internal partners.
Ability to educate and guide registered representatives on compliance standards, policies, and best practices.
Strong decision-making skills with the ability to work independently and manage complex supervisory responsibilities.
Skilled in resolving conflicts with internal and external stakeholders in a professional and collaborative manner.
Ability to manage multiple priorities, meet deadlines, and maintain accuracy under pressure.

Nice To Haves

Bachelor's Degree in business administration or related field
5+ years of experience in securities supervision or compliance within a brokerage or bank-based brokerage firm or equivalent work experience.

Responsibilities

Serve as the FINRA Designated Principal for assigned registered representatives.
Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes.
Oversee financial planning activities and ensure compliance with firm standards.
Conduct periodic reviews of sales activity, exception reports, and heightened supervision cases.
Investigate and resolve customer complaints, including direct client contact when necessary.
Maintain electronic records of client files in accordance with regulatory guidelines.
Complete monthly and quarterly certifications and respond to internal/external audit requests.
Participate in training and development of registered representatives.
Collaborate with Sales Leaders and participate in team meetings and events.
Review new account documentation, email correspondence, and client communications.
Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice
Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.