Regional Compliance Officer – Key Investment Services

🕒 5 days ago

🌲 Oregon, Washington – Remote

🌲 Oregon – Remote ☕ Washington – Remote

💵 $71k - $125k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis (FP&A)

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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KeyBank

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1994

🏦 Banking

💸 Finance

💳 Fintech

Banking • Finance • Fintech

KeyBank is a full-service bank offering a wide range of financial services for individuals, small businesses, and large institutions. Services include personal and business banking, wealth management, loans, credit lines, mortgages, credit cards, and investment services. KeyBank also provides online and mobile banking tools to help customers manage their finances efficiently. With a focus on financial wellness, KeyBank offers resources to help customers understand banking basics, manage debts, and achieve their financial goals.

📋 Description

• Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements. • Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations. • Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices. • Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures. • Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks. • Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution. • Participate in special projects, targeted reviews, and other initiatives to strengthen the firm’s compliance program. • Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture.

🎯 Requirements

• Bachelor's Degree or equivalent experience • FINRA Series 7 and 24 or willing to obtain • Minimum 5 years of experience in compliance, risk management, auditing, or related fields (required) • Demonstrated ability to work independently and collaboratively in a regulatory environment (required) • Advanced 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. • Leading compliance-related projects and mentoring junior analysts. • Staying current with regulatory changes and industry best practices.

🏖️ Benefits

• Incentive compensation which may include production, commission, and/or discretionary incentives