Key Investment Services
Financial Services
RegionalComplianceAnalyst
Neural analysis suggests this role is
optimal for Mid+ candidates.
“Regional Compliance Analyst at Key Investment Services. Skills: Risk methodologies, Financial instruments, Regulatory frameworks. Analyze financial data. Develop risk models”
Industry & Context.
Analytical skills; Quantitative problem solving
What They're Looking For.
Must Have
5+ years experience, Bachelor's degree
Nice to Have
Master's degree preferred, CFA charterholder preferred, FRM certification preferred
What You'll Do.
Analyze financial data
Monitor market trends
Prepare regulatory reports
Ensure compliance with regulations
Collaborate with stakeholders
Present findings to management
How You'll Work.
Team & Collaboration
Cross-functional teams; Risk and compliance departments
Communication Scope
Report writing; Presentation skills
Full Job Description
**Location:** 4910 Tiedeman Road, Brooklyn Ohio **Job Summary** Under general administrative direction, the Compliance Analyst uses knowledge and skills obtained through training, experience, and/or specialized education to conduct onsite branch inspections and related compliance reviews. This role requires regular travel and focuses primarily on evaluating supervisory systems, physical office settings, records and documentation, and conducting employee interviews to assess adherence to firm policies and procedures, as well as applicable federal and state regulations. The Compliance Analyst is responsible for thorough documentation of inspection activities and clear communication of results to business and compliance stakeholders. **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** * Serve as a primary examiner for onsite branch inspections, including travel to registered locations in accordance with the firm’s inspection program. * 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
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