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

Overview

Location: 4900 Tiedeman Road, Brooklyn Ohio

The Key Investment Services (KIS) Sr. Compliance Manager - Compliance Testing and Regulatory Management role is a direct report to the Key Investment Services (KIS) Chief Compliance Officer. This position leads a small team within a function, product, or process to ensure Key and KIS follow all required rules and regulations, and understand and comply with current regulations. The Senior Compliance Manager will develop business plans, policies and procedures and manage various projects to improve efficiencies.

The role sits in the second line of defense and is recognized as a reliable, knowledgeable resource both internally and externally.

About Key Investment Services LLC

KIS is a retail dual-registered, fully disclosed introducing broker/dealer and investment adviser that is a non-banking affiliate of Key Bank National Association and a subsidiary of Key Corp, a federally registered bank holding company. KIS also offers insurance products through Key Corp Insurance Agency USA Inc. KIS primarily operates out of Key Bank retail bank branches and provides brokerage, insurance, and investment advisory services to Key Bank retail customers through Key Bank National Association’s retail bank branches across the United States.

• 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 and testing aligned with Key Corp'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 the 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 business processes to identify efficiencies and potential improvements in accordance with the regulatory environment 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 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.

• 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
• 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 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 upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also 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 which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively 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…