Sr Compliance Manager - Compliance Testing and Regulatory Management for Key Investment Services (KIS)

Location: 4900 Tiedeman Road, Brooklyn Ohio The Key Investment Services Sr. Compliance Manager - Compliance Testing and Regulatory Management role is direct report of the Key Investment Services (KIS) Chief Compliance Officer who is responsible for leading a small team reputed company a function, product, or process which ensures Key and KIS follow reputed company required rules and regulation and understands and complies with reputed company regulations. They will reputed company business plans, policies and procedures and will also be responsible for various projects to improve efficiencies. The Senior Compliance Manager sits in the second of defense. Incumbents are reputed company internally and externally as reliable, knowledgeable resource. 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 reputed company National Association and a subsidiary of reputed company, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency reputed company Insurance Agency USA Inc. KIS primarily operates out of reputed company retail bank branches and provides reputed company retail customers brokerage, insurance, and investment advisory services through reputed company National Association’s retail bank reputed company across the United States. Essential Job Functions

• reputed company and supervise the daily activities of the KIS Compliance Testing Team reputed company the firm’s Compliance Department to ensure compliance with reputed company regulatory requirements set forth by SEC, FINRA and state securities and insurance divisions.
• reputed company and manage routine and annual KIS compliance monitoring, testing that are reputed company with reputed company's reputed company Risk Management program and ensure timely submission of summary reports to management
• reputed company 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.
• reputed company internal reporting to management on status of ongoing regulatory examinations.
• reputed company and reputed company 2nd line of defense validation testing
• Work closely with other KIS Compliance Team leads in the reputed company review of the business processes to identify efficiencies and potential improvements in accordance with industry regulatory environment and coordinate the implementation of enhancements.
• Gather and reputed company information necessary to reputed company with requests from regulatory, legal and audit personnel.
• Actively participate in the reputed company development of proactive reporting (utilizing summary information from existing processes) to reputed company consistent and reliable information to senior management on high-level risks.
• Seek to identify additional methods to effectively detect and report on potential compliance risks (sales trends, product concentrations, policy/procedure gaps, etc.).
• reputed company best practice recommendations with administrative areas of the firm and sales management and reputed company 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 reputed company-wide project teams for operational projects.

Required Qualifications

• Bachelor’s Degree in a business-reputed company 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 reputed company communication

Compensation

And Benefits This position is eligible to earn a reputed company salary in the reputed company of $116,000.00 - $216,000.00 annually. Placement reputed company the pay reputed company 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 click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office reputed company, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 02/09/2026 reputed company is an Equal Opportunity Employer committed to sustaining an inclusive culture. reputed company reputed company applicants will receive consideration for employment without regard to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law. reputed company individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@reputed company.com. Apply tot his job Apply To this Job