Sr Compliance Manager - Compliance Testing and Regulatory Management for Key Inv

KeyBank NA • Cleveland, OH • 4h ago

Location:
4900 Tiedeman Road, Brooklyn Ohio
The Key Investment Services Sr. Compliance Manager - Compliance Testing and Regulatory Management role is direct report of the Key Investment Services (KIS) Chief Compliance Officer who is responsible for leading a small team within a function, product, or process which ensures Key and KIS follow all required rules and regulation and understands and complies with current regulations. They will develop business plans, policies and procedures and will also be responsible for various projects to improve efficiencies. The Senior Compliance Manager sits in the second of defense. Incumbents are known internally and externally as reliable, knowledgeable resource.
ABOUT KEY INVESTMENT SERVICES LLCKIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency KeyCorp Insurance Agency USA Inc. KIS primarily operates out of KeyBank retail bank branches and provides KeyBank retail customers brokerage, insurance, and investment advisory services through KeyBank National Association's retail bank branch across the United States.
ESSENTIAL JOB FUNCTIONS
Perform and supervise the daily activities of the KIS Compliance Testing Team within the firm's Compliance Department to ensure compliance with all regulatory requirements set forth by SEC, FINRA and state securities and insurance divisions.
Develop and manage routine and annual KIS compliance monitoring, testing that are aligned with KeyCorp's Enterprise Risk Management program and ensure timely submission of summary reports to management
Perform control reviews and testing in support of annual FINRA 3120/3130 and SEC 206(4)-7 requirements.
Manage and deliver annual FINRA 3120/3130 and SEC 206(4)-7 reporting to management.
Manage securities and insurance examinations with external regulatory bodies (e.g., SEC, FINRA, State securities/insurance commissions) in conjunction with internal regulatory relations partners.
Provide internal reporting to management on status of ongoing regulatory examinations.
Perform and oversee 2nd line of defense validation testing
Work closely with other KIS Compliance Team leads in the continuous review of the business processes to identify efficiencies and potential improvements in accordance with industry regulatory environment and coordinate the implementation of enhancements.
Gather and provide information necessary to comply with requests from regulatory, legal and audit personnel.
Actively participate in the continuous development of proactive reporting (utilizing summary information from existing processes) to provide consistent and reliable information to senior management on high-level risks.
Seek to identify additional methods to effectively detect and report on potential compliance risks (sales trends, product concentrations, policy/procedure gaps, etc.).
Share best practice recommendations with administrative areas of the firm and sales management and provide ongoing support to administrative and field personnel regarding compliance issues.
Participate in special projects as assigned which could include acting as the Compliance Department designee on firm and enterprise-wide project teams for operational projects.
REQUIRED QUALIFICATIONS
Bachelor's Degree in a business-related field or equivalent experience
Minimum 7 years of progressively responsible compliance, regulatory or investment industry experience
Minimum 2 years supervisory experience
FINRA Series 7 and Series 24 (or ability to obtain)
Solid knowledge of the securities, insurance and investment advisory industries, including SEC, FINRA and state insurance and investment advisory laws, rules and regulations
Sol

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