Regional Compliance Officer; West - Key Investment Services; KIS

Location:

For Those Who Work At Home, Washington

The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, but the role also involves providing compliance training, drafting and updating policies, advising business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment.

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 an affiliated insurance agency, Key Corp Insurance Agency USA Inc. KIS primarily operates out of Key Bank retail bank branches and provides Key Bank retail customers brokerage, insurance, and investment advisory services through Key Bank National Association’s retail bank branch across the United States.

• 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.

Candidates must be located in Oregon or Washington, with preference for Portland, OR or Seattle, WA.

• Bachelor’s Degree or equivalent experience.
• FINRA Series 7 and 24 or willingness to obtain them.
• Minimum 5 years of experience in compliance, risk management, auditing, or related fields.
• Demonstrated ability to work independently and collaboratively in a regulatory environment.
• Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets.
• Document findings and communicate risks through clear, concise reports.
• Apply sound judgment in evaluating complex compliance scenarios.
• Proactively identify risk trends.
• Clearly convey compliance requirements and findings to diverse audiences.
• Manage difficult conversations maturely.
• Build strong relationships across departments to support compliance initiatives.
• Identify program improvement opportunities and design effective solutions to address compliance challenges.
• Lead compliance‑related projects and mentor junior analysts.
• Stay current with regulatory changes and industry best practices.

General Office – prolonged sitting, ability to communicate face‑to‑face or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks and computer bags up to 10 lbs.

Travel: up to 50% travel which may include overnight stay.

This position is eligible to earn a base salary in the range of $71,000.00 – $ 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.

08/13/2026

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.

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