Regional Compliance Officer – Key Investment Services
KeyBank
full-time
Posted on:
Location Type: Remote
Location: Oregon • Washington • United States
Visit company websiteExplore more
Salary
💰 $71,000 - $125,000 per year
About the role
- 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.
Requirements
- Bachelor's Degree or equivalent experience
- Minimum 5 years of experience in compliance, risk management, auditing, or related fields
- 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
- Managing difficult conversations maturely.
- Building strong relationships across departments to support compliance initiatives.
- Leading compliance-related projects and mentoring junior analysts.
- Staying current with regulatory changes and industry best practices.
Benefits
- Incentive compensation which may include production, commission, and/or discretionary incentives
- Employee workspaces which prioritize in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliancerisk managementauditingregulatory requirementssecurities industry conceptssupervisory frameworksinvestment productsfinancial marketscompliance policiesFINRA Rule 2210
Soft skills
communicationsound judgmentrelationship buildingproject leadershipmentoringproactive risk identificationmature conversation managementclear reportingcollaborationproblem-solving