Sr Compliance Manager - Compliance Testing and Regulatory Management Key Investment Service

Overview

Location: 4900 Tiedeman Road, Brooklyn, Ohio

The Key Investment Services Sr. Compliance Manager - Compliance Testing and Regulatory Management role reports to the Chief Compliance Officer. This position leads a small team within a function, product, or process to ensure Key and KIS comply with applicable laws and regulations. The role develops business plans, policies and procedures and oversees projects to improve efficiencies. The Senior Compliance Manager is a second line of defense, and is recognized internally and externally as a reliable, knowledgeable resource.

KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser, a non-banking affiliate of Key Bank National Association and a subsidiary of Key Corp. KIS also offers insurance products with an affiliated insurance agency. KIS primarily operates out of Key Bank retail branches and provides brokerage, insurance, and investment advisory services to Key Bank customers nationwide.

• Perform and supervise the daily activities of the KIS Compliance Testing Team within the firm’s Compliance Department to ensure compliance with regulatory requirements set forth by the SEC, FINRA and state securities and insurance divisions.
• Develop and manage routine and annual KIS compliance monitoring and testing aligned with Key Corp’s Enterprise Risk Management program; 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 the status of ongoing regulatory examinations.
• Perform and oversee 2nd line of defense validation testing.
• Work closely with other KIS Compliance Team leads to review business processes for efficiencies and improvements and coordinate implementation of enhancements.
• Gather and provide information necessary to comply with requests from regulatory, legal and audit personnel.
• Actively participate in the development of proactive reporting to provide consistent and reliable information to senior management on high‑level risks.
• Identify additional methods to 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; provide ongoing support regarding compliance issues to administrative and field personnel.
• Participate in special projects as assigned, including acting as the Compliance Department designee on firm and enterprise-wide project teams for operational projects.

• 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 laws and regulations
• Solid knowledge of brokerage industry operations and service functions
• Working knowledge of bank channel retail non-deposit investment program structure and controls
• Strong written and verbal communication skills
• Demonstrated ability to problem solve and exhibit strong analytical skills
• Demonstrated ability to work in a self-directed manner with good organizational skills
• Proven ability to foster open communication

This position is eligible to earn a base salary in the range of $ - $ annually. Placement within the pay range may differ based on factors including skills, experience and geographic location. Compensation includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.

Please  for a list of benefits for which this position is eligible.

Key has implemented an approach to employee work spaces prioritizing in-office presence, while providing flexible options for roles that can be performed in a mobile environment.

Job Posting Expiration Date: 03/03/2026

Key Corp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing

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