[Remote] Regional Compliance Analyst - Key Investment Services (KIS)
Note: The job is a remote job and is open to candidates in USA. Key Investment Services LLC is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is a non-banking affiliate of KeyBank National Association. The Compliance Analyst will conduct onsite branch inspections and compliance reviews, ensuring adherence to firm policies and federal and state regulations while providing compliance guidance to business partners.
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
Benefits
- Eligibility for incentive compensation which may include production, commission, and/or discretionary incentives
- Please click [here](https://www.key.com/about/careers/working-with-us/benefits.html) for a list of benefits for which this position is eligible
- Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment
Company Overview