Regional Compliance Officer (West) - Key Investment Services (KIS)
KeyBank(1 month ago)
About this role
A Compliance Officer at Key Investment Services LLC supports the firm’s adherence to regulatory and internal standards within the retail brokerage and advisory business. The role contributes to strengthening the compliance program and partnering with business and control functions to maintain a compliant, risk-aware culture.
Required Skills
- Branch Inspections
- Compliance Training
- Policy Drafting
- Advertising Review
- Risk Assessment
- Investigations
- Regulatory Advice
- Project Leadership
- Report Writing
- Stakeholder Collaboration
Qualifications
- Bachelor's Degree
- FINRA Series 7
- FINRA 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!
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