Regional Compliance Analyst – Key Investment Services

Responsibilities

• Serve as a primary examiner for onsite branch inspections
• Execute assigned branch inspection and compliance review activities using established methodologies and professional judgment
• Perform detailed documentation of inspection work, testing procedures, and results within designated systems and supporting work papers
• Exercise independent judgment to identify potential risk areas during inspections and determine when additional inquiry or expanded testing is warranted
• Clearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders
• Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution
• Identify, monitor, and elevate emerging risks or adverse trends identified through inspection activity
• Provide compliance guidance and support to business partners, as needed
• Support and lead various ad hoc compliance-related projects

• Bachelor's Degree or equivalent experience
• Minimum 1 year of experience in compliance, regulatory analysis, or related financial services roles
• Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
• Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
• Documenting findings and communicating risks through clear, concise reports
• Applying sound judgment in evaluating complex compliance scenarios
• Proactively identifying risk trends
• Managing difficult conversations maturely
• Building strong relationships across departments to support compliance initiatives
• Identifying program improvement opportunities and designing effective solutions to address compliance challenges
• Staying current with regulatory changes and industry best practices