Regional Compliance Officer – Key Investment Services
KeyBank
full-time
Posted on:
Location Type: Remote
Location: Oregon • Washington • United States
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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 & Tools
compliancerisk managementauditingregulatory requirementssecurities industry conceptssupervisory frameworksinvestment productsfinancial marketscompliance policiesFINRA Rule 2210
Soft Skills
communicationsound judgmentrelationship buildingproject leadershipmentoringproactive risk identificationmature conversation managementclear reportingcollaborationproblem-solving