Senior Supervision Principal - Complaints Analyst

KeyBank • Brooklyn, OH

1d • Hybrid

About The Position

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

The position serves as a FINRA Designated Principal supporting the supervision and surveillance of brokerage, advisory, and insurance sales activities. This work supports complaint investigations and review of potential sales-practice concerns in collaboration with Sales Leaders, registered representatives, and compliance partners. The role is based at 4910 Tiedeman Road in Brooklyn, Ohio, with a hybrid work-location category requiring 3+ days in office.

Requirements

• At least 5 years of experience in compliance, risk management, auditing, securities supervision, or a related field; preferably within a brokerage or bank-based brokerage firm.
• Demonstrated ability to work independently and collaboratively in a regulatory environment.
• Required licenses and certifications: SIE, Series 7, 24, 66, and 53 or 9/10.
• Required Life, Health, and Variable Annuity License.
• Skill investigating and resolving customer complaints, including direct engagement with clients in difficult situations and collaboration with compliance teams.
• Ability to use analytical tools to interpret data and identify complaint issues or trends.
• Understanding and application of laws and regulations relevant to banking, consumer finance, and securities, including SEC and FINRA rules governing complaint handling and supervision.
• Ability to evaluate risks, identify control gaps in processes and systems, and mitigate risks that could disrupt business operations.
• Sound judgment in evaluating complex complaint and compliance scenarios.
• Strong 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, with strong communication skills for meetings, governance committees, and training sessions.
• Experience responding to internal and external audits and completing required compliance certifications.
• Proficiency in 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 with regulatory changes and industry best practices and design effective solutions to address challenges.
• All KeyBank employees are expected to demonstrate Key’s Values and abide by Key’s Code of Conduct.

Nice To Haves

• Bachelor’s degree or equivalent experience (preferred).
• Experience in a brokerage or bank-based brokerage firm (preferred).

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 to identify risk areas and recommend process improvements.
• Investigate complaints and evaluate underlying sales-practice concerns with compliance teams and business partners; determine appropriate resolutions and corrective actions.
• 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 ensure consistent and effective complaint management across business units.
• Provide guidance and training to team members and business partners 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 records of client files 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 duties as assigned; duties, responsibilities, and activities may change or new ones may be assigned at any time with or without notice.
• Comply with KeyBank policies and procedures, act professionally and ethically, avoid conflicts of interest, and act in the best interests of Key’s clients and Key.

Benefits

• Base salary range of $69,000–$105,000 annually.
• Eligibility for incentive compensation, which may include production, commission, and/or discretionary incentives.
• Eligible for the benefits listed in the company’s benefits information; specific benefits are not detailed in the posting.

What This Job Offers

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