Regional Compliance Officer - Careers at KeyBank
KeyBank
Regional Compliance Officer - Careers at KeyBank
Job Description
About KeyBank
KeyBank is a leading financial services company committed to helping communities thrive. As a federally registered bank holding company, KeyCorp offers innovative banking, investment, and insurance solutions through its subsidiaries like Key Investment Services LLC (KIS). KIS, a dual-registered broker/dealer and investment adviser, operates from KeyBank branches nationwide, delivering brokerage, advisory, and insurance services to retail customers. Join KeyBank's dynamic team and contribute to a strong compliance culture in the financial services industry.
Position Summary
The Regional Compliance Officer for Key Investment Services (KIS) is pivotal in upholding regulatory standards and internal policies. Based in Brooklyn, OH, this hybrid role (3+ days in office) involves up to 50% travel for onsite branch inspections across the U.S. Ideal for seasoned compliance professionals, you'll manage inspections, training, policy updates, fraud investigations, and advisory support in a fast-paced environment. Base salary ranges from $71,000 to $125,000 annually, plus incentives.
Key Responsibilities
- Perform onsite branch inspections evaluating supervisory systems, signage, records, and policy adherence.
- Deliver compliance training to reinforce regulatory obligations.
- Draft and update policies reflecting regulatory changes and best practices.
- Review marketing materials under FINRA Rule 2210.
- Provide expert guidance on daily compliance issues and risks.
- Investigate fraud, financial exploitation, and elder abuse claims.
- Support special projects and collaborate across departments.
Required Qualifications
- Bachelor's Degree or equivalent.
- 5+ years in compliance, risk, or auditing.
- Deep knowledge of securities regulations, FINRA, investment products.
- Strong analytical, communication, and project leadership skills.
- Series 7/24 preferred (obtainable within 6 months).
Key skills include risk trend identification, clear reporting, relationship building, and staying ahead of industry changes.
Why Join Us
At KeyBank, enjoy a competitive salary, incentive pay, comprehensive benefits, and career growth in compliance. Be part of a collaborative team driving financial integrity. Hybrid flexibility, travel opportunities, and a focus on employee well-being make this role rewarding. Apply now for Regional Compliance Officer jobs in banking and investment services at KeyBank in Brooklyn, Ohio.
Locations
- Brooklyn, Ohio, United States
Salary
71,000 - 125,000 USD / yearly
71,000 - 125,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory Complianceintermediate
- Risk Managementintermediate
- Branch Inspectionsintermediate
- Policy Developmentintermediate
- Fraud Investigationintermediate
- Compliance Trainingintermediate
- Analytical Reportingintermediate
- Stakeholder Communicationintermediate
Required Qualifications
- Bachelor's Degree or equivalent experience (experience)
- Minimum 5 years in compliance, risk management, auditing, or related fields (experience)
- Advanced knowledge of securities regulations and FINRA rules (experience)
- Series 7 and 24 preferred or obtainable within 6 months (experience)
Responsibilities
- Conduct onsite branch inspections for regulatory adherence
- Provide compliance training to staff and partners
- Draft, review, and update compliance policies
- Review advertising materials per FINRA Rule 2210
- Offer guidance on compliance issues and risks
- Investigate fraud, exploitation, and elder abuse claims
- Participate in special projects and compliance initiatives
- Collaborate with supervision and sales teams
Benefits
- general: Competitive base salary $71,000 - $125,000 annually
- general: Incentive compensation including production and commissions
- general: Comprehensive benefits package (health, retirement, etc.)
- general: Hybrid work model (3+ days in office)
- general: Up to 50% travel opportunities
Tags & Categories
Answer 10 quick questions to check your fit for Regional Compliance Officer - Careers at KeyBank @ KeyBank.
Related Books and Jobs
Regional Compliance Officer - Careers at KeyBank
KeyBank
Regional Compliance Officer - Careers at KeyBank
Job Description
About KeyBank
KeyBank is a leading financial services company committed to helping communities thrive. As a federally registered bank holding company, KeyCorp offers innovative banking, investment, and insurance solutions through its subsidiaries like Key Investment Services LLC (KIS). KIS, a dual-registered broker/dealer and investment adviser, operates from KeyBank branches nationwide, delivering brokerage, advisory, and insurance services to retail customers. Join KeyBank's dynamic team and contribute to a strong compliance culture in the financial services industry.
Position Summary
The Regional Compliance Officer for Key Investment Services (KIS) is pivotal in upholding regulatory standards and internal policies. Based in Brooklyn, OH, this hybrid role (3+ days in office) involves up to 50% travel for onsite branch inspections across the U.S. Ideal for seasoned compliance professionals, you'll manage inspections, training, policy updates, fraud investigations, and advisory support in a fast-paced environment. Base salary ranges from $71,000 to $125,000 annually, plus incentives.
Key Responsibilities
- Perform onsite branch inspections evaluating supervisory systems, signage, records, and policy adherence.
- Deliver compliance training to reinforce regulatory obligations.
- Draft and update policies reflecting regulatory changes and best practices.
- Review marketing materials under FINRA Rule 2210.
- Provide expert guidance on daily compliance issues and risks.
- Investigate fraud, financial exploitation, and elder abuse claims.
- Support special projects and collaborate across departments.
Required Qualifications
- Bachelor's Degree or equivalent.
- 5+ years in compliance, risk, or auditing.
- Deep knowledge of securities regulations, FINRA, investment products.
- Strong analytical, communication, and project leadership skills.
- Series 7/24 preferred (obtainable within 6 months).
Key skills include risk trend identification, clear reporting, relationship building, and staying ahead of industry changes.
Why Join Us
At KeyBank, enjoy a competitive salary, incentive pay, comprehensive benefits, and career growth in compliance. Be part of a collaborative team driving financial integrity. Hybrid flexibility, travel opportunities, and a focus on employee well-being make this role rewarding. Apply now for Regional Compliance Officer jobs in banking and investment services at KeyBank in Brooklyn, Ohio.
Locations
- Brooklyn, Ohio, United States
Salary
71,000 - 125,000 USD / yearly
71,000 - 125,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory Complianceintermediate
- Risk Managementintermediate
- Branch Inspectionsintermediate
- Policy Developmentintermediate
- Fraud Investigationintermediate
- Compliance Trainingintermediate
- Analytical Reportingintermediate
- Stakeholder Communicationintermediate
Required Qualifications
- Bachelor's Degree or equivalent experience (experience)
- Minimum 5 years in compliance, risk management, auditing, or related fields (experience)
- Advanced knowledge of securities regulations and FINRA rules (experience)
- Series 7 and 24 preferred or obtainable within 6 months (experience)
Responsibilities
- Conduct onsite branch inspections for regulatory adherence
- Provide compliance training to staff and partners
- Draft, review, and update compliance policies
- Review advertising materials per FINRA Rule 2210
- Offer guidance on compliance issues and risks
- Investigate fraud, exploitation, and elder abuse claims
- Participate in special projects and compliance initiatives
- Collaborate with supervision and sales teams
Benefits
- general: Competitive base salary $71,000 - $125,000 annually
- general: Incentive compensation including production and commissions
- general: Comprehensive benefits package (health, retirement, etc.)
- general: Hybrid work model (3+ days in office)
- general: Up to 50% travel opportunities
Tags & Categories
Answer 10 quick questions to check your fit for Regional Compliance Officer - Careers at KeyBank @ KeyBank.
Related Books and Jobs