Regional Compliance Analyst – Key Investment Services

KeyBank

Compliance Analyst conducting evaluations and inspections for Key Investment Services LLC. This role focuses on regulatory compliance, inspections, and providing guidance to business partners with frequent travel.

Posted 6/6/2026full-timeBrooklyn • Illinois, New York, North Carolina, Ohio • 🇺🇸 United StatesJunior💰 $57,000 - $87,000 per yearWebsite

About the role

Key responsibilities & impact

Serve as a primary examiner for onsite branch inspections
Execute assigned branch inspection and compliance review activities using established methodologies and professional judgment
Perform detailed documentation of inspection work, testing procedures, and results within designated systems and supporting work papers
Exercise independent judgment to identify potential risk areas during inspections and determine when additional inquiry or expanded testing is warranted
Clearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders
Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution
Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity
Provide compliance guidance and support to business partners, as needed
Support and lead various ad hoc compliance-related projects.

Requirements

What you’ll need

Bachelor's Degree or equivalent experience
Minimum 1 year of experience in compliance, regulatory analysis, or related financial services roles
Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
Basic 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.
Identifying program improvement opportunities and designing effective solutions to address compliance challenges.
Staying current with regulatory changes and industry best practices.

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance reviewrisk assessmentdocumentationregulatory analysisfinancial servicessecurities industry conceptsinvestment productsfinancial marketssupervisory frameworkscompliance practices

Soft Skills

communicationcollaborationjudgmentrelationship buildingproblem solvingprioritizationmature conversation managementproactive risk identificationproject leadershipadaptability

Certifications

Bachelor's Degree