Regional Compliance Officer (West) - Key Investment Services (KIS)

Location

For Those Who Work At Home, WashingtonJob Summary

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, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to 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.

About Key Investment Services LLC

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

Essential Functions

• 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...