Regional Compliance Officer - Key Investment Services (KIS)
KeyBank(1 month ago)
About this role
A Compliance Officer at Key Investment Services LLC supports the firm’s regulatory and internal control framework across its retail branch network. The role operates within a dual-registered broker/dealer and investment adviser affiliated with KeyBank, ensuring adherence to industry standards and collaborating with business partners and control functions. The position requires strong analytical and communication abilities and is based in a hybrid work model with significant travel.
Required Skills
- Branch Inspections
- Compliance Training
- Policy Writing
- Regulatory Knowledge
- Risk Management
- Investigations
- Communication
- Project Leadership
Qualifications
- Bachelor's Degree
- Series 7
- Series 24
About KeyBank
key.comEnjoy the benefits of being a KeyBank client. We offer checking & savings accounts, credit cards, insurance, and loans. Open your KeyBank account today!
View more jobs at KeyBank →Apply instantly with AI
Let ApplyBlast auto-apply to jobs like this for you. Save hours on applications and land your dream job faster.
More jobs at KeyBank
Similar Jobs
Regional Manager - Branch Supervision
Transamerica(1 month ago)
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street(1 month ago)
Assistant Director Investment Compliance
Northwestern Mutual(3 months ago)
Administrative Assistant II - Wealth Management
First Interstate BancSystem(2 months ago)
Sr. Director, Compliance
Betterment(21 days ago)
Senior Compliance Associate
Altruist(25 days ago)