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KBCM Compliance Control Room at KeyBank - ApplyBlast

KBCM Compliance Control Room

KeyBank

4 months ago

3.6 on Glassdoor

Cleveland, OH

Hybrid

Full Time

Senior

0 applicants

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About this role

A Compliance Control Room Analyst/Officer acts as a critical liaison between Investment Banking, Capital Markets, Research, and Sales & Trading to ensure adherence to regulatory requirements regarding material non-public information. Responsibilities include administering information barriers, managing watch lists, reviewing transactions for conflicts of interest, and monitoring employee trading activities. The role also involves conducting research reviews, supporting regulatory examinations, and delivering compliance training to business partners.

Responsibilities

Administer and maintain firm Watch List and Restricted List
Conduct conflict-of-interest reviews for investment banking transactions
Review equity and fixed income research publications for regulatory compliance
Monitor employee trading activities for potential insider trading violations
Support internal and regulatory examinations from SEC and FINRA

Skills

Qualifications

Bachelor's degree in Finance, Business, Economics, or Legal Studies3–7 years of compliance experience in a broker-dealer or investment bank

About KeyBank

key.com

Headquarters

Cleveland, Ohio, United States

Company Size

10001+ employees

Founded

1849

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