Regional Compliance Officer – Key Investment Services

KeyBank

Compliance Officer ensuring Key Investment Services LLC meets regulatory standards through inspections and training. Conducting investigations and collaborating with various teams to maintain compliance.

Posted 7/13/2026full-timeRemote • Oregon, Washington • 🇺🇸 United StatesMid-LevelSenior💰 $71,000 - $125,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates advanced knowledge of compliance practices, regulatory requirements, and risk management within the securities industry, while effectively communicating findings and leading compliance initiatives.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24Compliance TrainingRisk ManagementRegulatory Requirements

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance PoliciesRegulatory ChangesSecurities Industry ConceptsSupervisory FrameworksInvestment ProductsFinancial MarketsAuditingFraud InvestigationReportingRisk Trend Identification

Soft Skills

Independent WorkCollaborationClear CommunicationRelationship BuildingMature Conversation Management

Certifications & Qualifications

Bachelor's DegreeFINRA Series 7FINRA Series 24

Industry Keywords

ComplianceRisk ManagementRegulatory EnvironmentFinancial ExploitationElder AbuseCompliance CultureBest PracticesAdvertising ReviewMarketing MaterialsCompliance Program

About the role

Key responsibilities & impact

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

What you’ll need

Bachelor's Degree or equivalent experience
FINRA Series 7 and 24 or willing to obtain
Minimum 5 years of experience in compliance, risk management, auditing, or related fields (required)
Demonstrated ability to work independently and collaboratively in a regulatory environment (required)
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.
Clearly conveying compliance requirements and findings to diverse audiences.
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.
Leading compliance-related projects and mentoring junior analysts.
Staying current with regulatory changes and industry best practices.

Benefits

Comp & perks

Incentive compensation which may include production, commission, and/or discretionary incentives