Senior Supervision Principal - Complaints Analyst

KeyBank • Brooklyn, OH

2d • $69,000 - $105,000 • Hybrid

About The Position

The Senior Supervision Principal – Complaints Analyst oversees and manages customer complaints within the first line of defense, ensuring timely, accurate, and compliant resolution. The role is the firm’s key point of contact for complaint handling and works with business units to investigate concerns, identify root causes and trends, implement corrective actions, and meet regulatory requirements, including FINRA Rule 4530 reporting. It also provides complaint-management guidance, escalates significant issues, and supports improvements to controls and the client experience.

The position also serves as a FINRA Designated Principal supporting supervision and surveillance of brokerage, advisory, and insurance sales activities. This includes reviewing sales-practice concerns, supervising assigned registered representatives and specified activities, and partnering with Sales Leaders, representatives, compliance teams, and other internal stakeholders. The role prepares complaint and risk reporting, maintains records, completes certifications, responds to audits, and stays current on regulatory and industry developments.

The role is based at 4910 Tiedeman Road in Brooklyn, Ohio, with a hybrid work location category of three or more in-office days. The position is eligible for an annual base salary of $69,000 to $105,000, as well as incentive compensation that may include production, commission, and/or discretionary incentives. Key describes its workspace approach as prioritizing in-office presence while offering flexible options when work can be performed effectively in a mobile environment.

Requirements

• At least 5 years of experience in compliance, risk management, auditing, securities supervision, or a related field; brokerage or bank-based brokerage experience is preferred.
• Demonstrated ability to work independently and collaboratively in a regulatory environment.
• SIE, Series 7, 24, 66, and 53 or 9/10 licenses or certifications.
• Life, Health, and Variable Annuity License.
• Ability to investigate and resolve customer complaints, including direct client engagement in difficult situations and collaboration with compliance teams.
• Ability to use analytical tools to interpret data and identify complaint issues or trends.
• Knowledge of laws and regulations relevant to banking, consumer finance, and securities, including SEC and FINRA rules for complaint handling and supervision.
• Ability to evaluate risks, identify process and system control gaps, and mitigate risks that could disrupt business operations.
• Sound judgment when evaluating complex complaint and compliance scenarios.
• Understanding of financial products offered on the platform, including annuities and insurance, and their suitability for client needs.
• Ability to build relationships across departments with registered representatives, Sales Leaders, and internal partners.
• Ability to prepare and present reports and metrics, communicate effectively in meetings and governance committees, and deliver training.
• Experience responding to internal and external audits and completing required compliance certifications.
• Proficiency with Microsoft Office applications and web-based compliance portals used for complaint management, supervision, reporting, and communication.
• Ability to manage multiple priorities, meet deadlines, and maintain accuracy under pressure.
• Ability to stay current on regulatory changes and industry best practices and design effective solutions.
• Bachelor’s degree or equivalent experience is preferred.

Nice To Haves

• Brokerage or bank-based brokerage firm experience.
• Bachelor’s degree or equivalent experience.

Responsibilities

• Manage the end-to-end complaint resolution process within the first line of defense, including direct client contact when necessary.
• Develop and maintain complaint-handling procedures aligned with regulatory requirements and internal standards.
• Analyze complaint trends and root causes, identify risk areas, and recommend process improvements.
• Investigate complaints and evaluate underlying sales-practice concerns in collaboration with compliance teams and business partners.
• Prepare and deliver reports on complaint metrics, trends, and risk indicators to management and governance committees, including FINRA 4530 reporting.
• Collaborate with internal stakeholders to promote consistent and effective complaint-management practices across business units.
• Provide guidance and training on complaint-handling best practices.
• Escalate significant issues and regulatory risks identified through complaint analysis to appropriate leadership.
• Serve as the FINRA Designated Principal for assigned registered representatives.
• Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes; review exception reports and heightened-supervision cases.
• Review new-account documentation, email correspondence, and client communications.
• Maintain electronic client-file records in accordance with regulatory guidelines.
• Complete monthly and quarterly certifications and respond to internal and external audit requests.
• Participate in special projects and stay current on regulatory changes and industry trends affecting complaint handling and supervision.
• Perform other assigned duties and comply with KeyBank policies and procedures, including professional and ethical conduct and acting in clients’ and Key’s best interests.

Benefits

• Eligible for incentive compensation, which may include production, commission, and/or discretionary incentives.
• Flexible workspace options in circumstances where roles can be performed effectively in a mobile environment.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior