Regional Compliance Officer (West) - Careers at KeyBank
KeyBank
Regional Compliance Officer (West) - 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 supports innovative affiliates like Key Investment Services LLC (KIS), a dual-registered broker/dealer and investment adviser. Operating from KeyBank retail branches nationwide, KIS delivers brokerage, insurance, and investment advisory 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 (West) for Key Investment Services plays a pivotal role in upholding regulatory standards and internal policies. Primarily focused on conducting branch inspections, this remote position (Oregon or Washington residents preferred, with emphasis on Portland, OR or Seattle, WA) involves up to 50% travel. Ideal for seasoned professionals with 5+ years in compliance, risk, or auditing, offering a salary range of $71,000 - $125,000 annually plus incentives. Leverage your expertise in securities regulations, FINRA rules, and fraud investigations to support KeyBank's nationwide operations.
Key Responsibilities
- Perform onsite branch inspections assessing supervisory systems, signage, records, and policy/regulatory compliance.
- Deliver targeted compliance training to reinforce obligations for staff and partners.
- Draft and update policies reflecting regulatory changes and best practices.
- Review marketing materials under FINRA Rule 2210 and firm guidelines.
- Provide expert guidance on daily compliance issues and emerging risks.
- Investigate fraud, elder abuse, and exploitation claims with timely escalation.
- Lead projects, targeted reviews, and collaborate across Supervision, Sales, and control functions.
Required Qualifications
- Bachelor's Degree or equivalent experience.
- 5+ years in compliance, risk management, auditing, or related fields.
- Advanced knowledge of securities regulations, investment products, and markets.
- Proven analytical, communication, and relationship-building skills.
- FINRA Series 7 and 24 preferred.
- Must reside in Oregon or Washington; ability to travel up to 50%.
Why Join Us
At KeyBank, you'll thrive in a collaborative environment fostering professional growth. Enjoy competitive compensation, incentive eligibility, comprehensive benefits, and flexible workspaces. Be part of a firm prioritizing compliance excellence and community impact. Search no further for KeyBank compliance jobs, remote financial compliance careers in Oregon, or securities regulatory roles in Washington. Apply today to advance your career with a trusted leader in banking and investments.
Locations
- Portland or Seattle (preference), Oregon or Washington, United States (Remote)
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
- Branch Inspectionsintermediate
- Compliance Trainingintermediate
- Policy Draftingintermediate
- Fraud Investigationintermediate
- Risk Assessmentintermediate
- FINRA Regulationsintermediate
- Communication Skillsintermediate
- Analytical Thinkingintermediate
- Project Managementintermediate
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 industry, compliance practices, and regulatory requirements (experience)
- FINRA Series 7 and 24 (Preferred) (experience)
- Ability to work independently and collaboratively (experience)
- Strong report writing and communication skills (experience)
Responsibilities
- Conduct onsite branch inspections evaluating supervisory systems, signage, records, and regulatory adherence
- Provide compliance training to branch staff and business partners
- Draft, review, and update compliance policies and procedures
- Review and approve advertising and marketing materials per FINRA Rule 2210
- Offer guidance and compliance advice to business partners
- Assist in investigating fraud, financial exploitation, and elder abuse claims
- Participate in special projects and compliance initiatives
- Collaborate with Supervision, Sales, and control functions
Benefits
- general: Competitive base salary range $71,000 - $125,000 annually
- general: Eligibility for incentive compensation including production, commission, and discretionary incentives
- general: Comprehensive benefits package (view details at KeyBank benefits page)
- general: Flexible work options prioritizing in-office presence where applicable
- general: Up to 50% travel opportunities
Tags & Categories
Answer 10 quick questions to check your fit for Regional Compliance Officer (West) - Careers at KeyBank @ KeyBank.
Related Books and Jobs
Regional Compliance Officer (West) - Careers at KeyBank
KeyBank
Regional Compliance Officer (West) - 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 supports innovative affiliates like Key Investment Services LLC (KIS), a dual-registered broker/dealer and investment adviser. Operating from KeyBank retail branches nationwide, KIS delivers brokerage, insurance, and investment advisory 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 (West) for Key Investment Services plays a pivotal role in upholding regulatory standards and internal policies. Primarily focused on conducting branch inspections, this remote position (Oregon or Washington residents preferred, with emphasis on Portland, OR or Seattle, WA) involves up to 50% travel. Ideal for seasoned professionals with 5+ years in compliance, risk, or auditing, offering a salary range of $71,000 - $125,000 annually plus incentives. Leverage your expertise in securities regulations, FINRA rules, and fraud investigations to support KeyBank's nationwide operations.
Key Responsibilities
- Perform onsite branch inspections assessing supervisory systems, signage, records, and policy/regulatory compliance.
- Deliver targeted compliance training to reinforce obligations for staff and partners.
- Draft and update policies reflecting regulatory changes and best practices.
- Review marketing materials under FINRA Rule 2210 and firm guidelines.
- Provide expert guidance on daily compliance issues and emerging risks.
- Investigate fraud, elder abuse, and exploitation claims with timely escalation.
- Lead projects, targeted reviews, and collaborate across Supervision, Sales, and control functions.
Required Qualifications
- Bachelor's Degree or equivalent experience.
- 5+ years in compliance, risk management, auditing, or related fields.
- Advanced knowledge of securities regulations, investment products, and markets.
- Proven analytical, communication, and relationship-building skills.
- FINRA Series 7 and 24 preferred.
- Must reside in Oregon or Washington; ability to travel up to 50%.
Why Join Us
At KeyBank, you'll thrive in a collaborative environment fostering professional growth. Enjoy competitive compensation, incentive eligibility, comprehensive benefits, and flexible workspaces. Be part of a firm prioritizing compliance excellence and community impact. Search no further for KeyBank compliance jobs, remote financial compliance careers in Oregon, or securities regulatory roles in Washington. Apply today to advance your career with a trusted leader in banking and investments.
Locations
- Portland or Seattle (preference), Oregon or Washington, United States (Remote)
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
- Branch Inspectionsintermediate
- Compliance Trainingintermediate
- Policy Draftingintermediate
- Fraud Investigationintermediate
- Risk Assessmentintermediate
- FINRA Regulationsintermediate
- Communication Skillsintermediate
- Analytical Thinkingintermediate
- Project Managementintermediate
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 industry, compliance practices, and regulatory requirements (experience)
- FINRA Series 7 and 24 (Preferred) (experience)
- Ability to work independently and collaboratively (experience)
- Strong report writing and communication skills (experience)
Responsibilities
- Conduct onsite branch inspections evaluating supervisory systems, signage, records, and regulatory adherence
- Provide compliance training to branch staff and business partners
- Draft, review, and update compliance policies and procedures
- Review and approve advertising and marketing materials per FINRA Rule 2210
- Offer guidance and compliance advice to business partners
- Assist in investigating fraud, financial exploitation, and elder abuse claims
- Participate in special projects and compliance initiatives
- Collaborate with Supervision, Sales, and control functions
Benefits
- general: Competitive base salary range $71,000 - $125,000 annually
- general: Eligibility for incentive compensation including production, commission, and discretionary incentives
- general: Comprehensive benefits package (view details at KeyBank benefits page)
- general: Flexible work options prioritizing in-office presence where applicable
- general: Up to 50% travel opportunities
Tags & Categories
Answer 10 quick questions to check your fit for Regional Compliance Officer (West) - Careers at KeyBank @ KeyBank.
Related Books and Jobs