Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank
KeyBank
Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank
Job Description
About KeyBank
KeyBank is a leading national bank committed to helping communities thrive. As a subsidiary of KeyCorp, Key Investment Services (KIS) is a dual-registered broker/dealer and investment adviser offering brokerage, insurance, and investment advisory services through KeyBank's extensive retail branch network across the United States. Join a dynamic team dedicated to regulatory excellence and client success in the financial services industry.
Position Summary
The Sr Compliance Manager - Compliance Testing and Regulatory Management for Key Investment Services (KIS) reports directly to the KIS Chief Compliance Officer. This critical second-line of defense role leads a compliance testing team, ensuring adherence to SEC, FINRA, and state regulations. Develop policies, oversee testing programs, manage regulatory exams, and drive efficiency improvements in a fast-paced investment services environment. Ideal for seasoned compliance professionals seeking leadership impact at a top-tier financial institution.
Key Responsibilities
- Lead daily activities of the KIS Compliance Testing Team to meet all regulatory requirements.
- Design and execute routine/annual compliance monitoring aligned with KeyCorp's Enterprise Risk Management.
- Conduct control reviews and testing for FINRA 3120/3130 and SEC 206(4)-7, delivering timely reports.
- Manage securities and insurance examinations with regulators like SEC, FINRA, and state commissions.
- Oversee 2nd line validation testing and collaborate on process enhancements.
- Identify emerging compliance risks through sales trends, product analysis, and policy gaps.
- Provide proactive reporting to senior management and support field personnel on compliance matters.
Required Qualifications
- Bachelor’s degree in business or equivalent experience.
- 7+ years in compliance, regulatory, or investment roles; 2+ years supervising teams.
- FINRA Series 7 and 24 (or ability to obtain).
- Deep knowledge of securities, insurance, advisory regulations, and bank-channel operations.
- Exceptional analytical, communication, and organizational skills.
Why Join Us
At KeyBank, you'll advance your career in a collaborative culture with robust professional development. Enjoy competitive compensation, comprehensive benefits, and the chance to influence enterprise-wide compliance strategies. Be a trusted expert in a firm known for innovation and integrity in banking and investment services. Apply now for this senior compliance manager role in Brooklyn, OH, and shape the future of regulatory excellence at Key Investment Services.
Locations
- Brooklyn, Ohio, United States
Salary
120,000 - 180,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory Complianceintermediate
- Compliance Testingintermediate
- FINRA & SEC Regulationsintermediate
- Team Supervisionintermediate
- Risk Managementintermediate
- Analytical Problem Solvingintermediate
- Regulatory Reportingintermediate
Required Qualifications
- Bachelor’s Degree in business-related field or equivalent (experience)
- 7+ years compliance/regulatory/investment experience (experience)
- 2+ years supervisory experience (experience)
- FINRA Series 7 and 24 (or ability to obtain) (experience)
- Knowledge of securities, insurance, investment advisory regulations (experience)
- Strong communication and organizational skills (experience)
Responsibilities
- Supervise KIS Compliance Testing Team for SEC, FINRA, state compliance
- Develop and manage compliance monitoring and testing programs
- Perform control reviews for FINRA 3120/3130 and SEC 206(4)-7
- Manage regulatory examinations and reporting
- Oversee 2nd line of defense validation testing
- Identify compliance risks and process improvements
- Participate in special projects and provide compliance support
Benefits
- general: Competitive base salary
- general: Comprehensive benefits package
- general: Professional development opportunities
- general: Career growth in financial services
- general: Supportive team environment
Tags & Categories
Answer 10 quick questions to check your fit for Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank @ KeyBank.
Related Books and Jobs
Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank
KeyBank
Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank
Job Description
About KeyBank
KeyBank is a leading national bank committed to helping communities thrive. As a subsidiary of KeyCorp, Key Investment Services (KIS) is a dual-registered broker/dealer and investment adviser offering brokerage, insurance, and investment advisory services through KeyBank's extensive retail branch network across the United States. Join a dynamic team dedicated to regulatory excellence and client success in the financial services industry.
Position Summary
The Sr Compliance Manager - Compliance Testing and Regulatory Management for Key Investment Services (KIS) reports directly to the KIS Chief Compliance Officer. This critical second-line of defense role leads a compliance testing team, ensuring adherence to SEC, FINRA, and state regulations. Develop policies, oversee testing programs, manage regulatory exams, and drive efficiency improvements in a fast-paced investment services environment. Ideal for seasoned compliance professionals seeking leadership impact at a top-tier financial institution.
Key Responsibilities
- Lead daily activities of the KIS Compliance Testing Team to meet all regulatory requirements.
- Design and execute routine/annual compliance monitoring aligned with KeyCorp's Enterprise Risk Management.
- Conduct control reviews and testing for FINRA 3120/3130 and SEC 206(4)-7, delivering timely reports.
- Manage securities and insurance examinations with regulators like SEC, FINRA, and state commissions.
- Oversee 2nd line validation testing and collaborate on process enhancements.
- Identify emerging compliance risks through sales trends, product analysis, and policy gaps.
- Provide proactive reporting to senior management and support field personnel on compliance matters.
Required Qualifications
- Bachelor’s degree in business or equivalent experience.
- 7+ years in compliance, regulatory, or investment roles; 2+ years supervising teams.
- FINRA Series 7 and 24 (or ability to obtain).
- Deep knowledge of securities, insurance, advisory regulations, and bank-channel operations.
- Exceptional analytical, communication, and organizational skills.
Why Join Us
At KeyBank, you'll advance your career in a collaborative culture with robust professional development. Enjoy competitive compensation, comprehensive benefits, and the chance to influence enterprise-wide compliance strategies. Be a trusted expert in a firm known for innovation and integrity in banking and investment services. Apply now for this senior compliance manager role in Brooklyn, OH, and shape the future of regulatory excellence at Key Investment Services.
Locations
- Brooklyn, Ohio, United States
Salary
120,000 - 180,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory Complianceintermediate
- Compliance Testingintermediate
- FINRA & SEC Regulationsintermediate
- Team Supervisionintermediate
- Risk Managementintermediate
- Analytical Problem Solvingintermediate
- Regulatory Reportingintermediate
Required Qualifications
- Bachelor’s Degree in business-related field or equivalent (experience)
- 7+ years compliance/regulatory/investment experience (experience)
- 2+ years supervisory experience (experience)
- FINRA Series 7 and 24 (or ability to obtain) (experience)
- Knowledge of securities, insurance, investment advisory regulations (experience)
- Strong communication and organizational skills (experience)
Responsibilities
- Supervise KIS Compliance Testing Team for SEC, FINRA, state compliance
- Develop and manage compliance monitoring and testing programs
- Perform control reviews for FINRA 3120/3130 and SEC 206(4)-7
- Manage regulatory examinations and reporting
- Oversee 2nd line of defense validation testing
- Identify compliance risks and process improvements
- Participate in special projects and provide compliance support
Benefits
- general: Competitive base salary
- general: Comprehensive benefits package
- general: Professional development opportunities
- general: Career growth in financial services
- general: Supportive team environment
Tags & Categories
Answer 10 quick questions to check your fit for Sr Compliance Manager - Compliance Testing and Regulatory Management - Careers at KeyBank @ KeyBank.
Related Books and Jobs