Regional Compliance Analyst - Key Investment Services (KIS)
KeyBank is a federally registered bank holding company, and they are seeking a Regional Compliance Analyst for their Key Investment Services division. This role involves conducting onsite branch inspections and compliance reviews to evaluate adherence to firm policies and regulations, requiring regular travel and thorough documentation of inspection activities.
Responsibilities
- Serve as a primary examiner for onsite branch inspections, including travel to registered locations in accordance with the firm’s inspection program
- 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
Skills
- 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
- 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
- Staying current with regulatory changes and industry best practices
- Series 7 and 24 preferred or the ability to obtain them within six months of hire
Company Overview