Senior Supervision Principal - Complaints Analyst

4910 Tiedeman Road, Brooklyn Ohio

The Senior Supervision Principal – Complaints Analyst is responsible for overseeing and managing the customer complaint process within the first line of defense, ensuring timely, accurate, and compliant resolution of client concerns. This role serves as the firm’s key point of contact for complaint handling—partnering with business units to identify root causes, implement corrective actions, monitor trends, and maintain adherence to regulatory requirements, including FINRA Rule 4530 reporting.

In addition to leading complaint management, the Senior Supervision Principal – Complaints Analyst serves as a FINRA Designated Principal supporting the supervision and surveillance of brokerage, advisory, and insurance sales activities. This supervisory foundation strengthens the analyst’s ability to investigate complaints, evaluate underlying sales-practice concerns, and collaborate with Sales Leaders, registered representatives, and compliance partners. The role also provides guidance on complaint-management best practices, escalates significant issues to leadership, and supports continuous improvement initiatives that strengthen controls and enhance the client experience.

• Complaint Management (Primary Focus) Manage the end-to-end complaint resolution process within the first line of defense, ensuring timely and compliant handling of customer concerns, including direct client contact when necessary. Develop and maintain complaint-handling procedures aligned with regulatory requirements and internal standards. Analyze complaint trends and root causes to identify risk areas and recommend process improvements. Investigate complaints and evaluate underlying sales-practice concerns, collaborating with compliance teams and business partners to determine appropriate resolution and corrective action.
  
  Prepare and deliver reports on complaint metrics, trends, and risk indicators to management and governance committees, including FINRA 4530 reporting. Collaborate with internal stakeholders to ensure consistent and effective complaint management practices across business units. Provide guidance and training to team members and business partners on complaint-handling best practices. Escalate significant issues or regulatory risks identified through complaint analysis to appropriate leadership.
• Supervisory Support Serve as the FINRA Designated Principal for assigned registered representatives. Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes, and review exception reports and heightened supervision cases. Review new account documentation, email correspondence, and client communications. Maintain electronic records of client files in accordance with regulatory guidelines. Complete monthly and quarterly certifications and respond to internal and external audit requests.
• General Participate in special projects and stay current on regulatory changes and industry trends impacting complaint handling and supervision. Perform other duties as assigned; duties, responsibilities, and/or activities may change or new ones may be assigned at any time with or without notice.
• Comply with all Key Bank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.

Bachelor’s Degree or equivalent experience (preferred).

5+ years of experience in compliance, risk management, auditing, securities supervision, or related fields—preferably within a brokerage or bank-based brokerage firm (required). Demonstrated ability to work…